1

United States Nursery Certification Program Pilot 

Animal and Plant Health Inspection Service 

Plant Protection and Quarantine 
2

USDA APHIS 

Plant Protection and Quarantine 

STANDARDS 

FOR 

PHYTOSANITARY MEASURES

REQUIREMENTS FOR THE CERTIFICATION OF NURSERIES 

UNDER THE UNITED STATES NURSERY CERTIFICATION 

PROGRAM

July 24, 2008 

United States Department of Agriculture 

Animal and Plant Health Inspection Service 

Plant Protection and Quarantine 

Riverdale, MD 
3

TABLE OF CONTENTS

ENDORSEMENT........................................................................................................................... 5 

AMENDMENT RECORD ............................................................................................................. 5 

DISTRIBUTION............................................................................................................................. 6 

I. INTRODUCTION.................................................................................................................... 6 

1. Scope..................................................................................................................................... 7 

2. References............................................................................................................................. 7 

3. Definitions, Abbreviations, and Acronyms .......................................................................... 8 

1.0 GENERAL REQUIREMENTS.......................................................................................... 12 

1.1 Legislative Authority .................................................................................................... 12 

1.2 Fees ............................................................................................................................... 12 

1.3 Regulated Pests ............................................................................................................. 12 

1.4 Regulated Commodities................................................................................................ 12 

2.0 PHYTOSANITARY REQUIREMENTS ........................................................................... 13 

2.1 Phytosanitary Standard ................................................................................................. 13 

2.2 Sourcing Plant Material ................................................................................................ 13 

2.3 Eligible Plant Taxa........................................................................................................ 14 

2.4 Propagative Origin........................................................................................................ 15 

3.0 FACILITY CERTIFICATION AND AUDIT REQUIREMENTS .................................... 16 

3.1 Applying for Certification............................................................................................. 16 

3.1.1 Eligible Applicants.................................................................................................... 16

3.1.1.1 USNCP Pilot Participant Selection Criteria......................................................... 17 

3.1.2 Document Review..................................................................................................... 18 

3.1.3 Facility Evaluation.................................................................................................... 18

3.1.4 Certification .............................................................................................................. 18 

3.2 Audits............................................................................................................................ 19 

3.2.1 Systems Audits.......................................................................................................... 19 

3.2.2 Surveillance Audits................................................................................................... 20 

3.3 Corrective Action Requests (CARs)............................................................................. 20 

3.4 Non-Conformances....................................................................................................... 20 

3.4.1 Critical Non-Conformances...................................................................................... 21 

3.4.2 Major Non-Conformances ........................................................................................ 21 

3.4.3 Minor Non-Conformance.......................................................................................... 21 

3.5 Observations/Opportunities for Improvement .............................................................. 21 

3.6 Facility Status and Frequency of Audits....................................................................... 22 

3.6.1 Conditional Status..................................................................................................... 22

3.6.2 Standard Status.......................................................................................................... 22 

3.6.3 Suspended Status ...................................................................................................... 22 

4.0 MANAGEMENT AND STAFF REQUIREMENTS ......................................................... 23 

4.1 Management Responsibility.......................................................................................... 23 

4.2 Certification Manager (CM) ......................................................................................... 23 

4.3 Pest Control Manager (PCM) also known as Pest Control Advisor (PCA) ................. 24 

4.4 Facility Staff.................................................................................................................. 25 
4

4.5 Training of Facility Staff .............................................................................................. 25 

5.0 USNCP MANUAL ............................................................................................................. 26

5.1 Phytosanitary Management System.............................................................................. 26 

5.1.1 Sourcing of Plant Material........................................................................................ 27 

5.1.2 Product Identity......................................................................................................... 27 

5.1.3 Control of Non-Conforming Product........................................................................ 27 

5.1.4 Internal Audits .......................................................................................................... 27 

5.1.5 Corrective Actions Requests Generated by the Certified Facility............................ 29 

5.1.6 Records and Documents ........................................................................................... 29 

5.2 Pest Management Plan.................................................................................................. 30 

5.2.1 Pest and Commodity Specific Requirements............................................................ 30 

5.2.2 Maps of the Certified Facility................................................................................... 30 

5.2.3 Incoming Plant Material ........................................................................................... 31 

5.2.4 Examination of Production Areas............................................................................. 31 

5.2.5 Examination of Shipping Areas and Export Shipments ........................................... 31 

5.2.6 Handling, Storage and Delivery................................................................................ 32 

5.2.7 Pest Detection ........................................................................................................... 32 

5.2.8 Pest Control............................................................................................................... 32 

5.2.9 Control of Non-Conforming Product........................................................................ 33 

6.0 SUSPENSION FROM THE USNCP ................................................................................. 33 

7.0 APPENDICES AND ADDENDUMS ................................................................................ 33 

Appendix 1: Regulated Pests of Canada.................................................................................... 35 

Appendix 2: Plants Excluded from the USNCP ....................................................................... 37 

Appendix 3: Application for Designation in the USNCP.......................................................... 44 

Appendix 4: Requirements for Certification and Pest Control Managers................................. 46 

Appendix 5: USNCP Manual Template .................................................................................... 49 

Appendix 6: USNCP Facility Approval and APHIS Audits ..................................................... 58 

Appendix 7: Classification of USNCP Non-Conformances...................................................... 64 

Appendix 8: USNCP Corrective Action Request...................................................................... 67 

Appendix 9: USNCP Observation Report................................................................................. 68 

Addendum 1: USNCP Manual Checklist .................................................................................. 69 

Addendum 2: USNCP Facility Evaluation Checklist................................................................ 78 

Addendum 3: USNCP Audit Checklist ..................................................................................... 94 

Addendum 4: USNCP Audit Planning Checklist.................................................................... 107 

Addendum 5: USNCP Audit Opening Meeting Checklist ...................................................... 109 

Addendum 6: USNCP Audit Closing Meeting Checklist ....................................................... 110 

Addendum 7: USNCP Audit Report Preparation Checklist.................................................... 111 
5

REVIEW

Plant Protection and Quarantine Standards for Phytosanitary Measures are subject to periodic 

review and amendment. The present document is a working document for use during the 

pilot stage for the implementation of the US Nursery Certification Program (USNCP). It will 

be finalized at the end of the pilot stage. The finalized Standard will have its first review one 

year after its completion. 

ENDORSEMENT 

This Standard is approved by 

 _______________________________________ ________________________________. 

Name Date 

AMENDMENT RECORD 

Amendments to this Standard will be given a consecutive number, dated and filed with 

APHIS Headquarters in Riverdale, MD 

Please ensure that all amendments are inserted, obsolete pages removed, and the record 

below is completed. 

Amendment 

No: 

Amendment Content 

and Pages 

Entered by: Date: 

1 Entire content updated A. McMellen 24 July 2008 

2 

3 

4 

5 

6 

7 

8 

9 

10 
6

DISTRIBUTION 

This Standard is distributed by controlled copies to Regional Program Offices for Plant 

Protection and Quarantine in Fort Collins, CO, and Raleigh, NC. 

The original remains with APHIS Headquarters in Riverdale, MD. 

Controlled Documents: APHIS Headquarters, Riverdale, MD 

 APHIS Regional Program Offices 

Fort Collins, CO and Raleigh, NC 

APHIS Trade Specialists 

APHIS State Plant Health Directors 

I. INTRODUCTION 

This standard establishes the requirements for the phytosanitary certification of plants 

produced in accordance with the United States Nursery Certification Program (USNCP) pilot 

for export trade in nursery plants to Canada in nursery plants. It also describes the 

responsibilities of APHIS and industry participants, in addition to describing requirements 

for approving, auditing and suspending facilities from the program. 

International trade in nursery stock is considered a high risk pathway for the spread of plant 

pests around the world. Traditionally, phytosanitary certification of nursery stock has been 

based upon a pre-shipment visual inspection of plants. Although visual inspection remains 

the primary tool of regulatory agencies, it does have limitations as evidenced by several 

recent introductions of quarantine plant pests believed to have been associated with 

propagative plant material certified in the country of export. 

The 2004 NAPPO concept paper, “Risk and Risk Mitigation Associated with the 

Importation of Propagative Plant Material into NAPPO Member Countries” discusses 

the limitations of phytosanitary certification based solely on visual inspections. This 

document suggests that applying a systems approach to phytosanitary certification offers a 

very promising alternative for mitigating pest risk. The USNCP pilot uses such a systems 

approach and is based on the IPPC Standard, “The Use of Integrated Measures in a Systems 

Approach for Pest Risk Management” (ISPM 14) and also meets the guidelines of the 

NAPPO Standard, “Integrated Pest Risk Management Measures for the Importation of Plants 

for Planting into NAPPO Member Countries” (RSPM 24).. 

The system-based USNCP is designed so any specific phytosanitary requirements associated 

with particular pests, products and geographical locations can be implemented and 

administered within the program. The facility’s USNCP Manual must describe how any 

additional specific phytosanitary requirements are incorporated into and met by the facility’s 

Phytosanitary Management System. 
7

1. SCOPE 

This Standard specifies the requirements which must be met by a nursery in order for the 

nursery to be certified under the US Nursery Certification Program (USNCP) for the 

exportation of nursery stock to Canada. This standard outlines the requirements of the 

USNCP including: 

 Phytosanitary requirements 

 Pest Management requirements 

 Requirements for certifying plant material 

 Requirements for certified facilities and their staff 

 APHIS/State audits and internal facility audits 

 USNCP Manual requirements 

 Record keeping requirements 

 Administrative requirements 

 Corrective action requests 

Note: Participation in the USNCP program is voluntary. For nursery stock grown in noncertified facilities; Federal, State, or County Authorized Certification Officials will carry out 

regular product inspections before issuing Phytosanitary Certificates. 

2. REFERENCES 

FAO, 2002. The Use of Integrated Measures in a Systems Approach for Pest Risk 

Management. ISPM 14. 

 

FAO, 2004. International Standards for Phytosanitary Measures. Glossary of Phytosanitary 

Terms. ISPM 5. 

NAPPO, 2004. NAPPO Glossary of Phytosanitary Terms. RSPM No. 5. 

NAPPO, 2004. Risk and Risk Mitigation Associated with the Importation of Propagative 

Plant Material into NAPPO Member Countries. Concept Paper Prepared by NAPPO 

Propagative Material Panel. 

NAPPO, 2005. Integrated Pest Risk Management Measures for the Importation of Plants for 

Planting into NAPPO Member Countries. RSPM 24. 

Plant Protection Act of 2000. 

USDA 7 CFR 319.37, 353, and 354 
8

Note: APHIS Import Regulations and the Regulated Plant Pest List may be found at: 

http://www.aphis.usda.gov/import_export/plants/plant_imports/index.shtml and 

http://www.aphis.usda.gov/import_export/plants/plant_imports/downloads/RegulatedPestList

.pdf respectively 

CFIA Import Regulations: Plant Protection Division Policy Directives related to nursery 

stock including but not limited to: 

 

 D-02-02, D-94-14, D-94-18, D-94-22, D-94-35, D-95-26, D-96-02, D-96-15, D-96-

20, D-97-05, D-97-10, D-98-02, D- 98-06, D-98-09, D, 99-03, D-00-03, D-00-07, D00-08, D-01-01, D-01-04, D-02-04, D-03-03, D-03-04. 

Note: CFIA Import Regulations may be found under “Policy Directives” at: 

 http://www.inspection.gc.ca/english/plaveg/protect/dir/directe.shtml

3. DEFINITIONS, ABBREVIATIONS AND ACRONYMS 

For the purposes of this program, the specified terms, abbreviations and acronyms are 

defined as follows: 

ACO -- Authorized Certification Official (NAPPO RSMP No 5, 2004) 

 

APHIS -- United States Department of Agriculture, Animal and Plant Health Inspection 

Service, Plant Protection and Quarantine 

Audit – A physical or electronic examination of all or part of a facility, which may include 

examination of documents, records, and plant material and interviews with staff, to ensure 

conformity with the USNCP Standards and the facility’s USNCP Manual. 

CFIA -- Canadian Food Inspection Agency 

CAR(s) -- Corrective Action Request(s) 

Certification -- Use of a single or any combination of quarantine procedures which will 

provide for the pest-free movement of commodities (NAPPO, 1991). 

Certification Manager (CM) -- A member of the certified facility management team who is 

responsible and accountable for the overall implementation of the Phytosanitary Management 

System (PMS) and Pest Management Plan (PMP). 

Certified Facility (CF) -- A nursery or other plant production establishment in the United 

States, whose management has signed an application for designation in the USNCP, has an 

approved USNCP Manual, has successfully completed an initial facility evaluation and 

subsequent audits, and is in compliance with the terms and conditions of the USNCP. 
9

Conditional Status -- Conditional status is the status of the certified facility when it is first 

approved for participation in the USNCP. This status is normally maintained for two years. 

External Audit -- An objective appraisal of the USNCP at a facility that is carried out by an 

APHIS Audit Team. 

Facility Evaluation -- For the purposes of this document: The initial verification that a 

facility is capable of competently fulfilling the specifications outlined in its USNCP Manual 

and that those specifications clearly meet the requirements of the USNCP when used in a 

practical application OR part of the acceptance process when a facility wishes to be 

reinstated in the program after a suspension or voluntary withdrawal.

Growing Cycle -- The period in which plants grow from one propagative state (e.g. cuttings, 

tissue culture plantlets, seed, pre-finished plants, etc.) to the next commercially acceptable 

size for either retail or wholesale trade. For the purpose of this Standard, a growing cycle 

must be no shorter than 28 days. 

Growing Season -- The period (or periods) of the year when plants will actively grow in an 

area, place of production or production site (FAO 2004, ISPM 5). For the purpose of this 

Standard, a growing season must be no less than 120 days. 

Internal Audit -- An independent and objective appraisal of the USNCP, conducted under 

the direction of the Certification Manager. 

 

IPPC -- Abbreviation of the International Plant Protection Convention, as deposited in 1951 

with FAO in Rome and as subsequently amended (FAO, 2002). 

NAPPO -- North American Plant Protection Organization 

Non-Conformance -- Failure to comply with a requirement of the USNCP Standards. 

Nursery -- A facility that produces nursery stock. 

Nursery Stock -- Any plant for planting, propagation or ornamentation including 

greenhouse, containerized and field grown plants. 

Origin -- Country, state, county or province where plants were grown. 

Pest -- Any species, strain or biotype of plant, animal or pathogenic agent injurious to plants 

or plant products (FAO 2004, ISPM 5). 
10

Pest Control Advisor (PCA) -- An individual who is employed by or contracted to a 

certified facility and who is responsible for the implementation of the procedures and 

processes described in the pest management component (Pest Management Plan) of the 

USNCP Manual. May also be referred to as a Pest Control Manager (PCM). 

Pest Control Manager (PCM) -- An individual who is employed by or contracted to a 

certified facility and who is responsible for the implementation of the procedures and 

processes described in the pest management component (Pest Management Plan) of the 

USNCP Manual. May also be referred to as a Pest Control Advisor (PCA). 

Pest Management -- The utilization of any procedure or combination of procedures 

designed to eradicate, suppress or contain pest populations at a level to protect agricultural 

and forestry resources (NAPPO, 1995). 

Pest Management Plan (PMP) -- A written description of procedures or processes designed 

to control, suppress or eradicate pest populations to a level that meets the phytosanitary 

standard. 

Phytosanitary Certificate -- An official document, issued by the National Plant Protection 

Organization of the exporting county to the National Plant Protection Organization of the 

importing country. It attests that the plants or plant products covered by the certificate have 

been inspected according to appropriate procedures and are considered to be free from 

regulated pests and practically free from other injurious pests, and that they are considered to 

conform to the current phytosanitary requirements of the importing country. 

Phytosanitary Management System (PMS) -- A systems approach, including pest 

management and record retention, used to direct and control an organization to consistently 

meet all the requirements of the USNCP. 

Plant -- Living plants and parts thereof, intended for planting, including a part of a plant. 

Practically Free -- A consignment, field or place of production, without pests (or a specific 

pest) in numbers or quantities in excess of those that can be expected to result from, and be 

consistent with good culturing and handling practices employed in the production and 

marketing of the commodity (FAO 2004, ISPM 5). 

Procedure -- A written description of the steps used to carry out an activity or process. A 

procedure also indicates the purpose and scope of the activity and identifies who has the 

authority to perform the activity. Any record forms associated with the activity must be 

referenced or attached to the procedure. Definitions may be included, if appropriate. 

 Quarantine Pest -- A pest of potential economic importance to the area endangered thereby 

and not yet present there, or present but not widely distributed and being officially controlled 

(FAO 2004, ISPM 5). 
11

Record -- A piece of evidence or information constituting an account of something which 

has occurred. For the purpose of this Standard, a record is used to verify continuous 

compliance with the USNCP Standard and to demonstrate procedures have been carried out 

as specified in the USNCP Manual. Records must include the date the activity was carried 

out, the signature of the designated person who carried out the activity, specific information 

related to the activity, and notes describing any deviation from described procedures.

Regulated Non-quarantine Pest -- A non-quarantine pest whose presence in plants for 

planting affects the intended use of those plants with an economically unacceptable impact 

and which is therefore regulated within the territory of the importing contracting party (FAO 

2004, ISPM 5). 

Standard Status -- Standard status is reserved for certified facilities which consistently meet 

the requirements of the USNCP. 

 

Surveillance Audit -- Continuous monitoring and verification of the status of an entity 

and analysis of records to ensure that specified requirements are being fulfilled. For the 

purposes of this document this definition is taken to mean: a verification that the status of the 

nursery stock and records conforms to the USNCP Manual. 

Suspended Status -- Facilities in suspended status are not allowed to ship material under the 

USNCP. The facility will be removed from the registry of approved facilities until corrective 

actions are completed to the satisfaction of APHIS. 

 

Systems Approach -- The integration of different pest risk management measures, at least 

two of which act independently, and which cumulatively achieve the appropriate level of 

phytosanitary protection (FAO 2002, ISPM 14). 

Systems Audit – A systematic examination of the organizational structure, procedures, 

processes and resources used in implementing the USNCP within the certified production 

facility. The objective of a systems audit inspection is to review the entire phytosanitary 

management system and determine whether all the required procedures have been identified 

in the USNCP Manual and that those continue to be sufficient to meet the requirements of the 

USNCP. 

United States -- The term United States means the States, District of Columbia, American 

Samoa, Guam, the Northern Mariana Islands, Puerto Rico, and the Virgin Islands of the 

United States 

USDA -- United States Department of Agriculture, Animal and Plant Health Inspection 

Service 

USNCP -- United States Nursery Certification Program 
12

USNCP Manual -- Document produced by each participating nursery that describes the 

export production policy and system of the nursery facility. 

Other definitions, abbreviations and acronyms as contained in the NAPPO Compendium of 

Phytosanitary Terms (NAPPO, 2004) and the FAO Glossary of Phytosanitary Terms (2004) 

are incorporated by this reference as part of this Standard. 

1.0 GENERAL REQUIREMENTS 

1.1 Legislative Authority 

Plant Protection Act of 2000 

USDA 7 CFR 353 and 354 

1.2 Fees 

Audits, inspections, certification of nurseries, certification of nursery stock, and issuance of 

Phytosanitary Certificates are subject to cost recovery according to 7 CFR and applicable 

State user fee regulations. 

1.3 Regulated Pests 

This standard regulates all quarantine and regulated non-quarantine pests of Canada and the 

United States. 

 

A list of Canada’s Regulated Pests can be found in Appendix 1. A current list may also be 

obtained by consulting the Canadian Food Inspection Agency (CFIA) website at: 

http://www.inspection.gc.ca/english/plaveg/protect/listpespare.shtml.

A partial list of regulated pests that the United States Department of Agriculture (USDA) 

considers to be of quarantine significance can be found on line at: 

http://www.aphis.usda.gov/import_export/plants/plant_imports/downloads/RegulatedPestList

.pdf . 

Some provinces in Canada have specific requirements for plant pests. It is the 

responsibility of participating nurseries to ensure that shipments of nursery stock meet 

the specific requirements of the destination province. 

 

1.4 Regulated Commodities 

 All nursery stock, except seed. 
13

2.0 PHYTOSANITARY REQUIREMENTS 

The certified facility must ensure that the plant material certified under the USNCP meets all 

the requirements of this phytosanitary standard, meets the requirements of other government 

agencies, and is accompanied by appropriate documentation. The facility’s USNCP Manual 

must identify mechanisms to ensure that only eligible plant material is exported under the 

USNCP. The certified facility is obligated to request the origin of plant material obtained 

from suppliers and must maintain records which verify the origin of all plant material 

certified under the USNCP. In addition, all plant material must be held and examined by 

designated facility staff before it can be integrated into any of the certified facility’s 

production or shipping areas. Product identity must be maintained once it is integrated into 

the facility. 

A Phytosanitary Certificate must be issued by an APHIS designated ACO for each shipment 

of plant material to be exported to Canada under the USNCP, which will certify compliance 

with Canadian import requirements. A phytosanitary certificate will be issued based on the 

certified facility’s compliance to this Standard, without the requirement of a traditional 

export inspection by the certifying ACO. 

After a facility has been in the USNCP for one year, the facility will be eligible to use the 

online Phytosanitary Certificate Issuance and Tracking (PCIT) system to apply for and issue 

their own certificates at the facility for USNCP eligible commodities. The USNCP 

phytosanitary certificate from PCIT will be printed on regular (non-security) paper. 

2.1 Phytosanitary Standard 

All plant material certified under the USNCP must meet the following phytosanitary 

standard: 

 Freedom from all quarantine and regulated non-quarantine pests to Canada 

and the US 

 Practical freedom from non-regulated plant pests 

 Compliance with any pest-specific or commodity-specific phytosanitary 

requirements of the CFIA and/or USDA 

 Compliance with pertinent federal regulations for certified facilities located 

in areas with regulated pests 

 Compliance with CFIA origin requirements 

2.2 Sourcing Plant Material 

The USNCP is a program targeted at the production of plant material for export to Canada 

that meets the phytosanitary standard defined by freedom from both quarantine and regulated 

plant pests and practical freedom from all non-regulated plant pests. The certified facility 

must ensure that all plant material that is brought onto the premises is held and inspected by 

designated nursery staff before it is introduced into any of the certified facility’s production 
14

or shipping areas. Only plant material that meets the phytosanitary standard may be moved to 

other areas of the certified facility. 

 

Material sourced from another USNCP certified nursery must undergo receiving and 

shipping inspections, like any material entering or leaving the facility, but can be exported to 

Canada without any holding period. 

A certified facility may source from other uncertified facilities, provided it meets all 

requirements for federally regulated pests. Material sourced from non-certified U.S. facilities 

must be handled within the specifications of the certified facility’s USNCP Manual. The 

material must undergo a receiving inspection. Once the material has been deemed free of 

quarantine pests and practically free of all non-regulated pests, the material must be 

incorporated into the inventory of the nursery. The certified nursery must hold the product 

for at least 28 days and subject it to at least one audit (external or internal) prior to export to 

Canada. For material from outside the United States, the material must meet all federal, 

state, and county import requirements and meet the requirements for propagative origin 

outlined in Section 2.4. 

The facility must specify within its USNCP Manual: 

 Methods of determining and maintaining records of the origin of the sourced 

material 

 Examination processes sufficient to preclude the transmission of pests and 

diseases 

 Methods to ensure only eligible plant material is exported under the USNCP 

 Methods for maintaining the identity of plant material once it is integrated into the 

inventory of the facility 

 Methods for identifying compliance with any pest-specific, origin-specific, or 

commodity- specific phytosanitary requirements of the CFIA and//or USDA 

2.3 Eligible Plant Taxa 

Plant taxa eligible for certification under the USNCP include those plants commonly known 

and recognized as nursery stock, except those that have been excluded by CFIA or APHIS, as 

outlined below: 

Appendix 2 lists the plant taxa that are not eligible for certification under the 

USNCP: 
15

Part A of Appendix 2 states that plant material imported into the United 

States in growing media from a country other than Canada is not eligible for 

certification under the USNCP and is prohibited entry into Canada regardless 

of the length of time the material is grown in the United States. The only 

exception is plant material which is sourced from facilities which are 

approved under both the USDA Growing Media Program and the Canadian 

Growing Media Program. 

Part B of Appendix 2 lists plant genera and species which are never eligible 

to be certified under the USNCP to any province of Canada. Certain plants 

listed in Part B can be inspected and certified under separate inspection 

activities by Federal, State or County ACOs for export to Canada. Local 

APHIS and State or County Department of Agriculture offices will be able to 

advise exporters of the certification and inspection requirements for these 

specific plant taxa. 

Part C of Appendix 2 lists plant genera which are never eligible for 

certification under the USNCP when destined to specific listed provinces of 

Canada. Plants on this list destined to other provinces of Canada may be 

eligible for certification under the USNCP. 

Part D of Appendix 2 includes plant genera and/or species which are 

regulated as protected plants under the Convention on International Trade in 

Wild Flora and Fauna (CITES) and/or the Endangered Species Act (ESA) and 

are not eligible for certification under this program. Local APHIS offices can 

advise exporters of the certification and inspection requirements for these 

specific plant genera and species. 

Part E of Appendix 2 lists plant genera which are not eligible for certification 

under the USNCP when originating from specific areas of the United States. 

However, the listed genera may be eligible for export to Canada under 

separate phytosanitary inspection and certification by Federal, State or County 

ACOs. 

Part F of Appendix 2 lists plant genera or species not eligible for certification 

under the USNCP when originating from countries other than the United 

States or Canada. These plants are prohibited and may never be exported to 

Canada. 

 

2.4 Propagative Origin 

 All plant material shipped under USNCP must be of United States or Canadian 

origin. The facility must supply a list of all its sources of propagative plant 

material acquired by the facility. 
16

Those plants not appearing on Part C of Appendix 2 imported to the United States 

from countries other than Canada must meet US import requirements, be grown at 

the certified facility for a period of time that is at least one growing cycle for 

greenhouse grown plants and one growing season for field and container grown 

plants, and be subject to at least one audit (external or internal) to be considered 

of US origin. 

 Plant material imported into United States under the US Growing Media Program 

(GMP) (plants rooted in pre-approved non-soil media) is prohibited from entering 

Canada regardless of the length of time grown in US. Subsequent generations of 

plants originating from the GMP mother plants are eligible under the USNCP. 

The only exception applies to plant material that originates from facilities 

approved under both the CFIA and USDA Growing Media Programs. Contact 

your local APHIS office for a list of those facilities. Local APHIS offices can 

provide exporters with a list of those facilities. 

 Plant material imported to the US from countries from which the plants would be 

considered a prohibited material to Canada are prohibited from export under the 

US Nursery Certification Program, see Part C of Appendix 2. 

 Certified facilities located in areas infested with regulated pests are governed by 

pertinent local and federal regulations. Local APHIS and State or County ACOs 

will be able to advise exporters of the need to meet local and federal regulations 

for specific regulated pests. 

 Plant material that meets Canadian import requirements, but cannot be certified 

under the USNCP may be certified under go traditional phytosanitary inspection 

by Federal, State or County ACOs for export to Canada under a Federal 

Phytosanitary Certificate. 

3.0 FACILITY CERTIFICATION AND AUDIT REQUIREMENTS 

3.1 Applying for Certification 

3.1.1 Eligible Applicants 

Eligible applicants are nurseries and greenhouses. To become certified under USNCP, the 

facility (or facility management) must: 

 Be located in United States; 

 

 Have completed, signed and forward to the Regional Office of APHIS an 

Application for Designation in the US Nursery Certification Program 
17

(Appendix 3) indicating that the applicant is willing and able to comply with 

the terms and conditions of the USNCP; 

 Submit, within 120 days of submitting their application, an USNCP Manual 

clearly stating how they will meet this Standard; identifying the pest 

management strategy for the operation; and containing all the elements 

outlined in Section 5.0. The facility may apply for an extension of 60 days if 

they are unable to complete their manual in time. 

 Designate qualified individuals to be the Certification Manager and the Pest 

Control Manager (see Appendix 4 for criteria). 

 Allow APHIS, State, and/or County officials to conduct an initial Facility 

Evaluation of the nursery system; 

 

When these steps have been successfully completed, the facility will be formally certified by 

APHIS. The National Accreditation Manager will assign an identification number to each 

facility certified under USNCP. The APHIS State Plant Health Director of any state with 

certified facilities will maintain a list of certified facilities in that state. Upon notification 

from the National Accreditation Manager, newly certified facilities will be added to that list. 

During the period of time that it takes to certify the facility (i.e. while the review of the 

USNCP Manual and the initial Facility Evaluation are being completed), nursery stock from 

that facility must be certified for export to Canada through regular Federal, State or County 

Agriculture Department phytosanitary product inspections conducted by ACOs. 

NOTE: In situations where an applicant has distinct separate facilities, each facility will 

require a separate USNCP Manual and a separate application form. A separate facility is one 

that is under different management and/or is under an autonomous management structure. 

3.1.1.1 U.S. Nursery Certification Program Pilot Participant Selection Criteria 

During the pilot phase of the U.S. Nursery Certification Program (USNCP), each state will 

initially be allowed to have 4 nurseries participate in the program. The nurseries will be 

nominated by the industry organization of the state, but the selection of participants must adhere 

to following criteria: 

1) The nursery must have shipped to Canada during the past year, is shipping to Canada during 

the current year, and has plans to ship to Canada during the next two shipping years. 

2) The nursery must commit to completing their draft USNCP manual within 4 months of 

submitting their application to APHIS. Upon written request to USDA/APHIS, the facility will 

be allowed one extension of 60 days. If the nursery is unable to draft their manual within this 

timeframe, they will be excluded from participation. Written notice of exclusion from the 
18

USNCP will be provided by the National Accreditation Manager to the nursery, state nursery 

association, and the state/county department of agriculture. 

3) Nurseries will be selected by the representative industry organization of the state, but industry 

must ensure that the selected nurseries accurately reflect the composition of the nursery industry 

of the state in terms of size and complexity of operation and should coordinate with the State and 

County Department of Agriculture in their selections. 

4) Nurseries must understand that participation in the USNCP requires commitment to the 

lengthy approval process and then required record keeping and audits once approved. 

5) In the near future, nurseries will be required to use PCIT to participate in the USNCP. 

If more than 4 nurseries are nominated that meet the above criteria, selection of the participants 

will be done by a random drawing overseen by the state plant regulatory official (SPRO). 

3.1.2 Document Review 

APHIS will review the Application for Designation form to ensure that the facility is eligible 

for approval under the USNCP and that the application is complete and signed. APHIS will 

also review the USNCP Manual to ensure that it contains all the required elements outlined 

in Section 5 and that it is sufficient to meet the requirements of this Standard (see Appendix 

5 and Addendum 1). APHIS may require the facility to revise or rewrite their USNCP 

Manual prior to proceeding to the next step in the approval process. Once APHIS has 

approved the USNCP Manual, the facility will move to the next phase of the process, the 

Facility Evaluation. 

3.1.3 Facility Evaluation 

Once the application and the USNCP Manual are approved by APHIS, an audit team will 

carry out a Facility Evaluation inspection (see Addendum 2). The purpose of the Facility 

Evaluation is to determine whether the facility has the infrastructure and staff in place to 

successfully implement the phytosanitary management system outlined in its USNCP Manual 

and meet the requirements of the USNCP. A written audit report summarizing the findings of 

the Facility Evaluation will be prepared by the lead auditor within 21 days of the Facility 

Evaluation.

3.1.4 Certification 

Once APHIS has approved the facility’s USNCP Manual and verified, through the facility 

evaluation, that the facility is able to implement all the procedures described in their manual, 

the facility is considered a Certified Facility (CF). Each certified facility approved under the 

USNCP is assigned a unique identification number by APHIS at the time of registration. 

 
19

3.2 Audits 

APHIS will conduct regular systems and surveillance audits of all facilities that are approved 

to ship plant material under the USNCP and will prepare audit reports that summarize the 

audit findings. Appendix 6 describes the audit team and how audits are conducted. An audit 

checklist may be found in Addendum 3. Additional guidance for audits can be found in 

Addendums 4-7. 

During the initial year of the pilot program, a minimum of three (3) surveillance audits and 

one complete systems audit must be conducted by APHIS and State or County Department of 

Agriculture officials concurrently with the pest control manager (or advisor). After the initial 

year of the pilot program, the audits will be conducted in accordance with the frequencies 

specified in Sections 3.5.1 and 3.5.2. 

The overall objective of these audits is to ensure that the certified facility is compliant with 

the USNCP Standard and that all nursery stock certified under the USNCP consistently meets 

the phytosanitary standards and eligibility requirements of the program. More specifically the 

goals are to: 

 Verify that the facility is in compliance with the facility’s USNCP Manual, the 

USNCP Standards for Phytosanitary Measures, the USDA Plant Protection Act 

and Regulations, CFIA import requirements for nursery stock, and US domestic 

movement requirements for nursery stock 

 Evaluate whether the facility is implementing their Phytosanitary Management 

System (PMS) as described in their USNCP Manual 

 Evaluate whether the facility is implementing their Pest Management Plan (PMP) 

as described in their USNCP Manual 

 Facilitate continual improvement and updating of the facility’s Phytosanitary 

Management System and USNCP Manual 

 Identify any deficiencies in the facility’s Phytosanitary Management System 

3.2.1 Systems Audits 

Systems Audits are a systematic examination, generally on an annual basis, of the 

organizational structure, procedures, processes, and resources used in implementing the 

USNCP within the certified facility. The objective of a systems audit is to determine whether 

these particular components of the program comply with the facility’s system as described in 

the USNCP Manual and to determine whether the components of the USNCP Manual are 

implemented effectively to achieve the objectives of the USNCP. 
20

3.2.2 Surveillance Audits 

Surveillance Audits are a continual monitoring and verification of the status of the certified 

facility’s plant material, records, and administrative procedures to ensure conformity with the 

facility’s USNCP Manual. Surveillance Audits evaluate whether the facility has the 

resources, infrastructure, and staff in place to successfully implement the procedures outlined 

in the USNCP Manual. Surveillance audits also verify that those procedures described in the 

USNCP Manual are implemented and documented and all certified nursery stock meets the 

requirements of the USNCP. 

Surveillance audits verify the effectiveness of pest management operations in controlling the 

introduction or establishment of pests, competency of nursery employees in identifying and 

controlling pests and record keeping aspects of the nursery. At least one surveillance audit 

should be carried out during a period of active plant growth. 

3.3 Corrective Action Requests (CARs) 

Corrective Action Requests (CARs) must be generated for each non-conformance detected in 

the certified facility (Appendix 8). Corrective action requests will generally require the 

certified facility to make changes to the phytosanitary management system and amendments 

to their USNCP Manual. 

All non-conformances must be classified on the corrective action request as being critical, 

major or minor in nature. Corrective action associated with a critical or a major nonconformance must be undertaken immediately. A partial list of non-conformances is in 

Appendix 7. 

Each corrective action request will be accompanied by an action plan that includes a detailed 

description of the measures that the certified facility will implement to prevent recurrences of 

the non-conformance and a time frame for completing the corrective actions. Failure to 

follow the action plan may result in suspension of the facility from the USNCP. 

3.4 Non-Conformances 

Activities or products that are found to be in contravention of this Standard are considered 

non-conformances. Non-conformances can be detected during APHIS audit inspections, 

internal audits, regular examinations of plant material, or import inspections of plant material 

by CFIA. These shall be classified as critical, major, or minor with a specified period for 

corrective action defined for each type. 

 

The number and type of non-conformances found determine the status of the facility and the 

subsequent auditing frequency. Guidelines describing the classification of non-conformances 

can be found in Appendix 7. However, the actual classification of non-conformances is based 
21

on an evaluation of the associated risk and whether the integrity of the certification program 

has been compromised.

3.4.1 Critical Non-Conformances 

Audit findings that indicate that the integrity of the USNCP at the certified production 

facility is in jeopardy, are considered to be critical non-conformances. The facility must be 

immediately suspended from the USNCP if any critical non-conformances are found 

(Section 3.5.3). Appendix 7 provides examples of some critical non-conformances. 

3.4.2 Major Non-Conformances 

 

Major Non-Conformances are isolated incidents of non-conformance, which have no direct 

impact on the integrity of the certified product. Corrective actions must be carried out to the 

satisfaction of APHIS within a specified period of time. The required corrective actions will 

generally require a change to the USNCP manual and will include measures to prevent 

recurrence. Appendix 7 provides examples of some major non-conformances. 

If more than two major non-conformances are detected during an audit, or if the facility fails 

to carry out the required corrective actions within the specified time period, the facility must 

be immediately suspended from the USNCP (Section 3.5.3). 

3.4.3 Minor Non-Conformance 

Minor non-conformances are isolated incidents, which do not immediately and/or 

significantly affect the integrity of the program or the certified product. Appendix 7 provides 

examples of some minor non-conformances. 

If more than three (3) minor non-conformances are detected in any one audit this is 

considered equivalent to one major non-conformance. Corrective actions must be undertaken 

by the facility before the next scheduled audit, or within the time limit specified by APHIS. 

Any non-conformance must be accompanied by an action plan. Failure to follow the action 

plan may result in the suspension of facility from the USNCP. 

3.5 Observations/Opportunities for Improvement 

Observations are points or practices which could be used to improve the facility’s USNCP 

Manual and phytosanitary management system. Observations may be used to highlight, 

suggest or reinforce particular practices. The recording of observations is optional, and may 

use the form in Appendix 9. Observations may be noted during either internal or external 

audits, or when improvements to acceptable current practices are identified. If observations 

are noted between external audits, the observations must be retained with the facility’s 

records and must be presented to APHIS for review at the time of the next external audit. 
22

3.6 Facility Status and Frequency of Audits 

The frequency of APHIS audits is determined by the status of the certified production 

facility, which is determined primarily by the results of previous APHIS audits. During the 

initial year of participation, a minimum of four surveillance audits and one systems audit 

must be conducted by APHIS. After the initial year of participation, the audits will be 

conducted according to the frequencies specified in Sections 3.5.1 and 3.5.2. 

3.6.1 Conditional Status 

Conditional status is normally maintained for two growing seasons when the facility is first 

approved for participation in the USNCP. Facilities that operate under low pest risk 

conditions may be placed on Standard status following one growing season of acceptable 

compliance with the program. This will be done at the discretion of APHIS in consultation 

with the State or County Department of Agriculture responsible for overseeing the USNCP 

facilities as part of their area of responsibility. 

A facility may remain at Conditional Status for a maximum of two consecutive years. If it 

has not achieved Standard Status by the end of this period, the facility will be suspended 

(Section 3.5.3). 

During conditional status, APHIS will conduct a minimum of one systems audit and 

three surveillance audits annually. During the initial year of the pilot program, audits will be 

conducted at an increased frequency, see Section 3.5. 

3.6.2 Standard Status 

Standard status is reserved for facilities which consistently meet the requirements of the 

USNCP. Facility’s which have consistently met the requirements of the USNCP during the 

probationary period may be changed to standard status, at the discretion of APHIS.

 

Facilities at Standard Status may be placed at Conditional Status, as an alternative to 

Suspension, depending on the number and type non-conformances identified, or as a result of 

making significant modifications to their USNCP Manual. 

During standard status, APHIS will conduct a minimum of one systems audit and two 

surveillance audits annually. Audits will be conducted at a frequency determined by the 

Regional Program Officer. 

3.6.3 Suspended Status 

Suspended facilities are not allowed to ship material under the USNCP. APHIS must remove 

the facility from the registry of approved facilities until corrective actions are completed. If a 

quarantine pest of either the US or Canada is found at a certified facility, the facility will be 
23

immediately suspended from the USNCP and all shipments from that facility must be 

stopped. APHIS and the State and County Departments of Agriculture will not issue any 

phytosanitary certificates except after APHIS or State or County Department of Agriculture 

conduct phytosanitary inspections of plant material prior to shipping. 

 

The facility may re-apply for certification in the program after the Phytosanitary 

Management System and USNCP Manual have been reviewed and restructured to address all 

previous non-conformities, following the process outlined in Section 3.1. 

4.0 MANAGEMENT AND STAFF REQUIREMENTS 

The facility management must be committed to ensuring that the procedures described in the 

USNCP Manual are effective for ensuring the integrity of certified plant material and that all 

procedures described therein are fully implemented. In addition, the certified facility must 

have sufficient, capable staff in place to permit it to successfully fulfil the requirements of the 

USNCP.

4.1 Management Responsibility 

The facility management is responsible for the development and maintenance of a 

phytosanitary management system that precludes the introduction or transmission of 

quarantine pests to or from the nursery. The administration of that system shall be carried out 

and verified by the pest control manager. 

Management is responsible for affording APHIS, State and/or County staff full co-operation 

for the purposes of carrying out facility evaluations, audits, examinations of records and 

documents, sample collection, product inspections or interviews of staff. Management is 

also responsible for the implementation of required corrective actions. Facility management 

must appoint a Certification Manager and a Pest Control Manager (or Pest Control Advisor) 

who meet the requirements listed in Appendix 4. The certification manager may also be the 

pest control manager as long as the individual satisfies the requirements of both positions. 

The management of the certified facility must also ensure that the facility has sufficient 

capable, trained staff employed to carry out the requirements of this Standard. 

4.2 Certification Manager (CM) 

The facility must designate a Certification Manager (CM) that is a member of the 

management team of the facility. The certification manager must have a thorough 

understanding of the USNCP, demonstrate the capability to carry out the requirements 

described in this directive and be committed to ensuring compliance with the USNCP by 

implementing the pest management plan and record retention program of the facility. 

Addendum 1 lists the qualifications required of certification managers. 
24

The Certification Manager must be invested with the authority and responsibility to develop 

and implement a phytosanitary management system that meets the requirements of the 

USNCP. The administration of the phytosanitary management system must be carried out 

and verified by the certification manager. The Certification Manager must ensure employees 

conducting pest management or eradication activities have expertise in performing those 

tasks and are adequately trained. The Certification Manager is responsible for the 

development and maintenance of a record management and retention program. The 

Certification Manager may designate qualified personnel or contractors to assist in 

developing and implementing components of the phytosanitary management system such as: 

pest management, record keeping, administration and internal audits. 

The certified facility must have a qualified alternate who can replace the Certification 

Manager when that person is absent. Any facility that does not name a qualified 

alternate, or does not put an APHIS approved contingency plan into place at the time of 

departure or absence of the Certification Manager will be suspended from the program. 

4.3 Pest Control Manager (PCM) also known as Pest Control Advisor (PCA) 

The Pest Control Manager (also known as the Pest Control Advisor) must be invested with 

the authority and responsibility to develop and implement a pest management plan (PMP) 

that meets the requirements of the USNCP, and must report to the Certification Manager. The 

facility must have a contingency plan in place that ensures that the responsibilities of the Pest 

Control Manager (or Advisor) are met, even in his/her absence. Any facility that does not 

name a qualified alternate, or that does not implement an APHIS approved contingency plan 

at the time of departure or absence of the Pest Control Manager, will be suspended from the 

program. 

The Pest Control Manager must either be employed or contracted by the certified facility to 

provide technical pest management services as specified in a contractual agreement between 

the facility and the employee; or be the owner or employee of a business the provides 

technical pest management services as specified in a contractual agreement between the 

certified facility and the business. The individual designated as the Pest Control Manager 

must meet the qualifications outlined in Appendix 4. 

The Pest Control Manager must determine whether plant material meets the phytosanitary 

requirements of the USNCP and the requirements as stated in the certified facility’s USNCP 

Manual. 

The PCM is responsible for: 

 Immediately notifying the Certification Manager if the product is contaminated, or 

suspected to be contaminated with a regulated pest; and 

 Immediately notifying APHIS and the State or County Departments of Agriculture 
25

regarding the presence of a quarantine pest in the certified facility or on product 

purchased or sold by the certified facility; and 

 Controlling or eradicating regulated and non-regulated pests discovered during 

examinations or audits; and 

 Effectively treating or disposing of products contaminated with regulated and nonregulated plant pests in a manner that mitigates the risk of contamination of other 

products as specified in the USNCP Manual; and 

 Maintaining detailed records that verify compliance with the USNCP Manual and 

phytosanitary requirements of this Standard, including non-conformances, 

corrective actions, audits and follow-up examinations; and 

 Establishing a corrective action plan to deal with identified non-conformances. 

Corrective actions must provide detailed instructions to prevent recurrences of the 

non-conformances. 

4.4 Facility Staff 

In the USNCP Manual, the facility must identify all employees involved in implementing the 

facility’s phytosanitary management system, provide a description of their duties, and contact 

information. 

 

As part of the internal audit process, the certified facility must complete regular assessments 

of the staff positions named in the USNCP Manual, and document the results and 

recommendations for improvements. Observations and corrective actions must be recorded, 

initialed, and dated. 

4.5 Training of Facility Staff 

The certified facility must provide all employees involved in implementing the USNCP with 

a general understanding of the facility’s phytosanitary management system and specific 

knowledge related to those components for which each employee has responsibility. 

A training program that provides all employees involved in the phytosanitary management 

system with a general understanding of the USNCP must be implemented at the certified 

facility and documented in the USNCP Manual. In addition, employees must receive 

training related to the specific responsibilities of their job that relates to the USNCP, 

including a complete understanding of the regulatory and pest management requirements. 

Training records must be maintained by the facility for each employee and made available on 

request to APHIS and State or County officials. 
26

The records are to include: 

 Training schedule 

 Type of training received 

 Date of training 

 Whether training was completed satisfactorily 

 Any additional training needs identified 

5.0 USNCP MANUAL 

The USNCP Manual must outline all procedures implemented by the certified facility to 

ensure that plants certified under the USNCP meet the requirements of this Standard, 

including the administrative, pest management and record-keeping systems in place at the 

certified facility. There are two key components of the USNCP Manual: a description of the 

Phytosanitary Management System (Section 5.1); and a detailed Pest Management Plan 

(Section 5.2). A list outlining specific components which must be addressed within the 

USNCP Manual can be found in Appendix 5. A checklist used to guide manual reviewers is 

found in Addendum 1. 

The certified facility must continually update its USNCP Manual to describe any 

changes to the procedures and staff which affect the program. The facility must inform the 

local APHIS contact in writing; by mail, facsimile or electronic mail; of any intended 

modification(s) to the USNCP Manual relevant to this Standard. APHIS must approve 

proposed changes to the USNCP Manual and/or the facility prior to implementation. APHIS 

may require modifications to the proposed changes prior to implementation. 

The USNCP Manual must be type written. The manual must be clearly labeled with the 

name and address of the certified facility, the latest revision date, the number of pages, and 

the name and contact information of the person who prepared the manual. It must be signed 

by the Certification Manager and must have an amendment sheet providing space to 

document any additions, omissions or changes to the document, the date they were made, and 

who authorized the changes. 

5.1 Phytosanitary Management System 

The USNCP Manual must describe the Phytosanitary Management System that is used at the 

certified facility to consistently meet all the requirements of the USNCP Standards. The 

Phytosanitary Management System must include procedures relating to the sourcing of plant 

material, maintaining product identity, shipping certified material, controlling nonconforming product, conducting internal audits, generating corrective action requests, 

improving and maintaining the phytosanitary management system and the USNCP Manual, 

and the record keeping systems that verify compliance with this Standard. 
27

5.1.1 Sourcing of Plant Material 

The USNCP Manual must describe the name and location of all sources of new or incoming 

plant material. These sources could include on-site propagation, other certified facilities, noncertified facilities, brokers, wholesalers, and contract growers. The country or state where 

each of these sources is located must also be documented. APHIS must be notified of any 

change to the source of new or incoming plant material. 

The USNCP Manual must describe measures to ensure sourced plant material is free of pests 

of concern and to mitigate the risk of introducing and transmitting plants pests. In addition, 

the USNCP Manual must describe measures which have been implemented to ensure 

documents are obtained by the certified facility which certify the country or state of origin 

and the identity of all sourced plant material. 

The certified facility must maintain records verifying that all plant material certified under 

the USNCP meets the requirements outlined in Sections 2.2 (Eligible Plant Taxa) and Section 

2.3 (Certifying Plant Material under the USNCP) of this Standard. Records identifying the 

place of origin and supporting the eligibility of plant material must be maintained in order for 

plant material to be exported from the United States under the USNCP. 

5.1.2 Product Identity 

The Phytosanitary Management System must include procedures for maintaining product 

identity within the certified facility from receiving until shipping and for tracing product 

forward and backward from the certified facility. 

5.1.3 Control of Non-Conforming Product 

The certified facility must have procedures in place to ensure that non-conforming product 

not certified does not contaminate other product. The Phytosanitary Management System 

must include the maintenance of detailed records that document non-conformances, 

corrective actions, audits, and follow-up examinations. The records must verify compliance 

with this Standard. 

Facility staff must notify the Certification Manager immediately if any products are found to 

not conform to the requirements of this Standard. If product is found to be contaminated or 

suspected of being contaminated with a regulated pest, the Certification Manager or the Pest 

Control Manager must notify APHIS immediately. 

5.1.4 Internal Audits 

The Certification Manager must perform, or designate parties to perform one internal 

systems audit per year and four surveillance audits per year. The Certification Manager is 

responsible for supervising designated parties in the conduction of the audits. At least one 
28

surveillance audit must be conducted during the active growing season and at least one must 

be conducted during the shipping season. A detailed report must be prepared within two 

weeks of conducting each audit and must be made available to the external audit teams from 

APHIS and the State or County Departments of Agriculture. APHIS audit teams will review 

the records from the internal audits as part of the external audit. APHIS suggests that internal 

audits be carried out prior to each external audit by APHIS and be conducted to complement 

the certification of plants (Section 2.3). The persons conducting the internal audit may not 

audit their own work. 

NOTE: Internal audits focus on the systems in place at the certified facility and are NOT the 

same as pest scouting or monitoring. Surveillance audits, however, may include selective 

inspection of plant material for pests as part of the audit. 

Internal Systems Audits verify: 

 Processes at the facility are effective and adequate to meet the requirements 

outlined in this Standard

 Required documentation is current, readily available to staff, and sufficient to 

meet the requirements outlined in this Standard 

 Phytosanitary Management System is operating in accordance with 

 the specified requirements, including the performance of all staff as identified in 

 the USNCP Manual 

 Corrective action plan has been established to address each identified nonconformance 

Internal Surveillance Audits verify: 

 Pest Management Plan is effective in preventing the introduction or 

establishment of pests 

 Facility employees are competent in identifying and controlling pests and 

carrying out the duties and responsibilities as outlined in the USNCP Manual 

 Record-keeping procedures are in compliance with the USNCP Manual and are 

sufficient to keep track of the origin of plant material, etc. 

 Action is taken on outstanding non-conformances and Corrective Action 

Requests 

NOTE: Observations may be used to highlight, suggest, or reinforce particular 

practices. The recording of observations is optional and may use the form in 

Appendix 9. Observations may be noted during either internal audits, or when 

improvements to acceptable current practices are identified. If observations are noted 

between external audits, the observations must be retained with the facility’s records 

and must be presented to APHIS for review at the time of the next external audit. 
29

Additional information about audits may be found in Appendices 6-9, and in 

Addendums 1-7. 

5.1.5 Corrective Actions Requests Generated by the Certified Facility 

Activities or products that are found to be in contravention of this Standard are considered 

non-conformances. A Corrective Action Request (see Appendix 8) must be generated for 

each non-conformance detected by the certified facility during an internal audit. 

In addition, non-conformances must be classified as being critical, major, or minor in nature. 

Guidelines describing the classification of non-conformances can be found in Appendix 7. 

Corrective Action Requests must be completed within a specified period of time. Corrective 

Action Requests must include detailed instructions on how to prevent recurrences of the nonconformances and will generally require the amendment of the certified facility’s USNCP 

Manual. It is imperative for APHIS to be notified immediately regarding the presence, or 

suspected presence, of any critical non-conformance in the facility, or of any critical nonconformance associated with product purchased or sold by the facility. If APHIS is not 

immediately notified, the facility will be suspended from the program. 

 

Observations may be used to identify situations of concern (which do not warrant a 

Corrective Action Request), or to describe practices which are worth highlighting, 

suggesting, or reinforcing. Observations should be reported and used by the certified facility 

to improve their USNCP Manual and Phytosanitary Management System. The form for the 

USNCP Observation Report may be found in Appendix 9. 

5.1.6 Records and Documents 

The Certified Facility must maintain records that verify the implementation of the 

Phytosanitary Management System as described in its USNCP Manual. The records should 

substantiate the country of origin of all certified plant material and demonstrate that plant 

material certified under the USNCP meets the requirements of this Standard. The certified 

facility must also maintain records verifying that the Pest Management Plan has been 

implemented, including details of all examinations, pest finds and corrective actions. 

USNCP records must be kept on the premises of the certified facility and made available to 

APHIS and/or State or County officials upon request. All records pertaining to the USNCP 

must be maintained for a minimum of three (3) years regardless of the current status of the 

facility in the program. If records are maintained electronically, the nursery must make 

provisions for backing up all electronic records. 

In addition, current copies of the following documents must be readily accessible for the use 

of all facility staff and contractors: 

 USNCP Standards for Phytosanitary Measures 
30

 CFIA Plant Protection Policy Directives (available at www.inspection.gc.ca) 

 CFIA and USDA regulated pest lists 

 Approved USNCP Manual of the certified facility 

 Pertinent local or federal pest regulations 

5.2 Pest Management Plan 

The Pest Management Plan is a written description of procedures or processes designed to 

eradicate, control, or suppress pest populations to a level that meets the phytosanitary 

standard. 

Each certified facility must implement a pest management plan that ensures consistent 

compliance with phytosanitary standards (freedom from quarantine and regulated nonquarantine pests, and practical freedom from other injurious plant pests). The procedure for 

implementing the pest management plan must be documented and included in the facility’s 

USNCP Manual and must be approved by APHIS. Required elements that must be contained 

in the pest management plan are described in this section of this Standard. 

5.2.1 Pest and Commodity Specific Requirements 

APHIS may require the Pest Management Plan to include additional requirements, such as 

examination and/or testing, for plant material with specific quarantine pest considerations. 

This higher risk plant material may include plants that are hosts to specific pests of concern, 

plants imported from outside continental North America, plants exported to provinces in 

Canada that have additional certification standards, or stock plants that are held for more than 

a growing season. 

In cases where additional pest or commodity specific quarantine requirements apply to the 

certified facility, or to products produced by the Certified Facility, the USNCP Manual must 

include descriptions of how each of the specific quarantine requirements are being met. The 

Pest Management Plan must outline any cultural practices, sampling, testing, treatments, or 

other measures that are in place to ensure that the product to be certified meets all 

phytosanitary requirements, both general and specific. The Certification Manager or the Pest 

Control Manager must ensure that all pest and commodity specific requirements are met 

prior to shipping. The names and qualifications of any laboratories used for testing must be 

included in the Pest Management Plan. The Pest Management Plan must be readily available 

for use by employees involved in implementing the USNCP. 

5.2.2 Maps of the Certified Facility 

The Pest Management Plan must include maps of the certified facility that indicate the flow 

of plant material through the facility. The maps must be labeled to identify the receiving, 

production, handling and shipping areas as well as any other areas referred to in the USNCP 

Manual. 
31

5.2.3 Incoming Plant Material 

The Pest Management Plan must describe the measures that are in place to ensure that all 

nursery stock entering the certified facility is free of quarantine and regulated non-quarantine 

pests of the United States and Canada and practically free of non-regulated plant pests. The 

PMP must also describe the facility will mitigate the risk of introducing and transmitting 

plant pests. 

New plant material must remain physically separated from other plant material and may not 

be integrated into the certified facility’s production system until the material is examined and 

found free of regulated plant pests and practically free of other plant pests. The examination 

must be conducted by either the Pest Control Manager or appropriately trained and 

designated staff member. Once the material has been inspected and is determined to be free 

of regulated plant pests and practically free of other plant pests, it may be moved into the 

production areas of the certified facility. If pests are found, control measures must be taken 

immediately. Details of all examinations must be recorded, including a description of any 

pest(s) found and corrective actions taken. 

Records of the origin, movement, examination, and treatment of plant material must be 

maintained by the certified facility and must be made available to APHIS and/or State or 

County officials on request. 

Plant material imported to the United States is subject to the requirements of 7 CFR 319.37 

and inspection by APHIS regardless of the importer’s participation in the USNCP. 

5.2.4 Examination of Production Areas 

All plant material in a certified facility, including plants destined for domestic markets and 

all production areas, must be examined by the pest control manager or by designated staff 

according to the methods, frequency and intensity specified in the pest management plan. 

Each block (defined as an area representing a continuous cultivar) must be examined using 

general surveillance with any suspect plants being examined closer. Details of all 

examinations must be recorded, including a description of any pest(s) found and corrective 

actions taken. These records must be made available to APHIS, State, or County officials 

upon request. 

5.2.5 Examination of Shipping Areas and Export Shipments 

When shipments are being prepared for export, the Pest Control Manager or designated staff 

must examine the shipping areas to ensure that the phytosanitary standards are met and pest 

contamination does not occur. Each shipment of plant material certified under the USNCP 

must be examined for pests at the time of shipping. Details of all examinations must be 

recorded and include a description of any pest finds and corrective actions taken. 
32

5.2.6 Handling, Storage and Delivery 

The certified facility must establish adequate handling, storage and delivery procedures to 

ensure that pest contamination of healthy, examined and verified product does not occur prior 

to its receipt by the consignee. Product that has been examined and verified as being free of 

pests must be kept separated from non-verified material. 

5.2.7 Pest Detection 

APHIS and State or County Department of Agriculture officials must be notified 

immediately of any pest finds of significance. Examples of such situations are observation of 

atypical or uncommon pest damage or symptoms, detection of a new pest in a production 

area, or suspicion of the presence of a quarantine pest. In the event of an infestation by a 

quarantine pest, APHIS and State or County Department of Agriculture officials will work 

co-operatively with the pest control manager to ensure that effective controls are exercised 

by the facility to eradicate the pest and to minimize the effects to the producer. Failure to 

notify APHIS and the State or County Department of Agriculture when a quarantine or 

regulated non-quarantine pest is found by a certified facility is considered a Critical NonConformance which will result in immediate suspension from the USNCP. 

 

The facility must maintain a pest record which documents all pest findings, identifications 

and submissions to laboratories. 

 

NOTE: A quarantine pest interception traced back to a certified facility is also a critical nonconformance that will result in a suspension of the certified facility from the USNCP until a 

corrective action is completed and the USNCP Manual is modified to prevent re-occurrence 

of the non-conformance. 

5.2.8 Pest Control 

Pest control strategies must be employed by the certified facility to maintain freedom from 

quarantine pests and regulated non-quarantine pests, and practical freedom from other 

injurious pests. The tolerance for non-regulated pests depends on the phytosanitary risk they 

present to certified plant material. These strategies must be documented in the Pest 

Management Plan and may include cultural (weed control, general sanitation), physical, 

biological (integrated pest management (IPM) program with established threshold levels for 

specific beneficial organisms) and/or chemical controls. Plants that are contaminated by nonregulated plant pests must be treated or culled in a manner that is effective and that mitigates 

the risk of contamination of other products. 

Modules may be added as appendices to address specific regulated pests of concern. The 

module should address how the nursery will mitigate the risk of the regulated pest through 

receiving, production, and shipping procedures. 
33

Records must be maintained by the certified facility which document that such pest control 

strategies have been implemented, including details of all examinations, pest findings and 

corrective actions undertaken as a result. 

5.2.9 Control of Non-Conforming Product 

The Pest Management Plan must describe how non-conforming product is identified and 

treated. Measures must be implemented to prevent the shipment of plant material under the 

USNCP that does not meet the phytosanitary requirements of this Standard. These measures 

must be described in the pest management plan. The pest management plan must also include 

procedures for the sampling and testing of plant material in order to detect pests of concern 

that are not easy to discover by visual inspection alone and for notifying the certification 

manager and APHIS and the State or County Departments of Agriculture if product is 

contaminated, or suspected to be contaminated, with a regulated pest. If the product is 

contaminated with a quarantine pest, APHIS and the State or County Department of 

Agriculture must be notified in writing within 48 hours. 

Culled plant material must be disposed of in a manner that mitigates the risk of infecting 

other plant material and the environment. 

6.0 SUSPENSION FROM THE USNCP 

A certified facility that is not able to maintain the required phytosanitary conditions, does not 

implement corrective actions in a timely manner, or is found violating any condition of the 

USNCP will be advised in writing by APHIS of their suspension from the program (section 

3.6.3). Plant material shall not be exported under a USNCP Phytosanitary Certificate from a 

facility that has failed to meet the program requirements as stipulated in this Standard. The 

facility must return all Phytosanitary Certificates to APHIS or the State or County upon 

request. Plant material originating from a non-compliant facility may be issued Phytosanitary 

Certificates by Federal, State or County ACOs on the basis of a satisfactory phytosanitary 

product inspection. Phytosanitary Certificates will not be issued for any plant material not 

meeting the phytosanitary standards. 

Phytosanitary product inspection by Federal, State or County ACOs will be the only option 

available for export certification unless corrective measures are taken to bring the facility 

into compliance with the USNCP. The suspended facility must re-apply for certification. 

APHIS will then review the revised USNCP Manual and conduct a Facility Evaluation to 

verify program compliance. 

7.0 APPENDICES AND ADDENDUMS 

Appendix 1: Regulated Pests of Canada 

Appendix 2: Plants Excluded from the USNCP for Export to Canada 

Part A: Plants Imported into the US in Growing Media 
34

Part B: Plants Prohibited from All of US to All Provinces 

Part C: Plants Prohibited to Specific Provinces 

Part D: Plants Regulated by CITES and ESA 

Part E: Plants Prohibited from Specified Areas of the US 

Part F: Plants Whose Origin is Other than US and Canada 

Appendix 3: Application for Designation in the USNCP 

Appendix 4: Requirements for Certification Managers and Pest Control Managers 

Appendix 5: USNCP Manual Template 

Appendix 6: USNCP Facility Approval and Audits by APHIS 

Appendix 7: Classification of USNCP Non-Conformances 

Appendix 8: USNCP Corrective Action Request 

Appendix 9: USNCP Observation Report 

Addendum 1: USNCP Manual Checklist 

Addendum 2: USNCP Facility Evaluation Checklist 

Addendum 3: USNCP Audit Checklist 

Addendum 4: USNCP Audit Planning Checklist 

Addendum 5: USNCP Audit Opening Meeting Checklist 

Addendum 6: USNCP Audit Closing Meeting Checklist 

Addendum 7: USNCP Audit Report Preparation Checklist 
35

APPENDIX 1: REGULATED PESTS OF CANADA 

Regulated pests of Canada which may be present in the U. S. include, but are not limited to: 

 Alfalfa snout beetle (Otiorynchus ligustici) 

 Apple ermine moth (Yponomeuta malinellus Zeller) 

 Apple maggot (Rhagoletis pomonella Walsh) 

 Apple proliferation mycoplasma 

 Asian Long-Horned Beetle (Anoplophora glabipennis Motchulsky) 

 Azalea flower spot disease (Ovulinia azaleae Weiss) 

 Balsam wooley adelgid (Adelges picea Ratzburg) 

 Black currant reversion disease 

 Blueberry maggot ( Rhagoletis mendax Curran) 

 Boring beetle (Anopophlora spp) 

 Brown rot (Ralstonia solanacearum race 3), (Pseudomonas solancearum)

 Brown rot (Monillinia fructigena Alderhold et Ruhl) Honey ex Whetzel 

 Burrowing nematode (Radopholus similis (Cobb) Thorne) 

 Chrysanthemum white rust (Puccinia horiana P. Henn.) 

 Columbia root- knot nematode (Meliodogyne chitwoodii Golden et al)

 Dutch elm disease (Ophiostoma (=Ceratocystis) ulmi Buism.) Nannf. 

 Dwarf Bunt (Tilletia controversa Kuhn) 

 Eastern filbert blight (Anisogramma anomala (PK) Muller) 

 European brown garden snail (Helix aspersa Mueller) 

 European corn borer (Ostrinia nubilalis Hübner) 

 European larch canker (Lachnellula willkommii(Hartig) Dennis) 

 Golden nematode (Globodera rostochiensis Woll.) 

 Grapevine anthracnose (Elsinoe ampelina(de Bary) Shear) 

 Gypsy moth (Lymantria dispar (L.)), 

 Japanese beetle (Popillia japonica Newman) 

 Narcissus bulb nematode, onion bulb nematode, stem and bulb nematode (Ditylenchus 

dipsaci (Kuhn) Filipjev) 

 Oak wilt (Ceratocystis fagacearum (T.W. Bretz) J. Hunt) 

 Onion white rot (Sclerotium cepivorum Berk.)

 Oriental fruit moth (Grapholita molesta (Busck) 

 Pale cyst nematode (Globodera pallida Stone)

 Pear decline and moria mycoplasma, 

 Pine shoot beetle (Tomicus piniperda L.) 

 Plum pox virus 

 Potato rot nematode (Ditylenchus destructor Thorne) 

 Potato smut (Thecaphora solani Barrus) 

 Potato wart (Synchytrium endobioticum Schlib)

 Scleroderris canker (Gremmeniella abietina (Lagerb.) Morelet) 
36

 Soybean cyst nematode (Heterodera glycines Ichinohe) 

 Sudden oak death (Phytophora ramorum Werres et al.) 

and any other pests which according to a risk assessment are determined to be regulated 

pests. 

A more complete list may be found at: 

http://www.inspection.gc.ca/english/plaveg/protect/listpespare.shtml

Fact sheets describing many of the pests regulated by Canada may be found through links at that 

website. 

Other pests may be considered regulated pests in Canada. The certified facility’s staff should 

contact APHIS officials for updated Canadian quarantine pest information. It is the certified 

facility’s responsibility to ensure that shipments of nursery stock meet the specific requirements 

of CFIA. The local office of APHIS or the State or County Department of Agriculture will be 

able to advise certified facilities of particular Canadian provincial requirements. 
37

APPENDIX 2: PLANTS EXCLUDED FROM THE UNITED STATES NURSERY 

CERTIFICATION PROGRAM FOR EXPORT TO CANADA 

A. Any plant imported into the United States in growing media from a country other 

than Canada. Plant material imported into United States under the Growing Media Program 

(GMP) (plants rooted in pre-approved non-soil media) is prohibited from entry into Canada 

regardless of the length of time grown in US. Subsequent generations of plants, originating 

from the GMP mother plants, are eligible under the USNCP. The only exception applies to 

plant material that originates from facilities approved under both the CFIA and USDA 

Growing Media Programs. Contact your local APHIS office for a list of those facilities. 

B. Plants of the following genera/species are prohibited from all US origins to all 

provinces under the USNCP: 

Berberis spp. 

Chaenomeles spp. 

Cuscuta spp. 

Cydonia spp. 

Mahoberberis spp. 

Mahonia spp. 

Malus spp. 

Nicotiana tabacum 

Orobanche spp. 

Prunus spp. 

Pyrus spp. 

Rhamnus spp. 

Striga spp. 

Vitis spp. 

Some of this material may be shipped to Canada under various other programs. Please check 

with your local APHIS office for specific information or see CFIA policy directives at: 

http://www.inspection.gc.ca/english/plaveg/protect/dir/directe.shtml

C. Plants of the following genera are prohibited to specific provinces: 

Genera: Prohibited to: 

Abies spp. (from all states) British Columbia 

Corylus spp (from states other than AZ, CA, ID, NV, and UT) British Columbia 

Ulmus spp. (from all states) All provinces other than New 

 Brunswick, Ontario and 

Quebec 

Zelkova spp. (from all states) All provinces other than New 

 Brunswick, Ontario and 

 Quebec 
38

D. Plants which are regulated by the Convention on International Trade in Wild Flora and 

Fauna (CITES) or the Endangered Species Act (ESA) may not be certified under the 

USNCP, regardless of origin. Examples of plants protected under CITES includes all members 

of the families of Cactaceae, Cycadaceae, Orchidaceae and Zamiaceae. 

A list of plants which are regulated by CITES may be found at the website: 

http://www.cites.org/eng/app/e-appendices.pdf 

A list of plants that are regulated by ESA may be found at: 

http://www.fws.gov/endangered/wildlife.html 
39

E. Plants of the following genera/species are prohibited from specified areas of the United 

States: 

Host of Phytophthora ramorum from infested (quarantine) 

areas (NOTE: this list is subject to frequent changes - for an up to 

date list go to: 

http://www.inspection.gc.ca/english/plaveg/protect/dir/sodspe.shtml)

Abies spp. 

Acer spp. 

Adiatum spp. 

Aesculus spp. 

Arbutus spp. 

Arctostaphylos spp. 

Ardisia spp. 

Calluna spp. 

Calycanthus spp. 

Camellia spp. 

Castanea spp. 

Castanopsis spp. 

Ceanothus spp. 

Cercis spp. 

Cinnamomum spp. 

Clitonia spp. 

Cornus spp. 

Corylopsis spp. 

Corylus spp. 

Distylium spp. 

Drimys spp. 

Dryopteris spp. 

Eucalyptus spp. 

Euonymus spp. 

Fagus spp. 

Frangula spp. 

Fraxinus spp. 

Garrya spp. 

Gaultheria spp. 

Griselinia spp. 

Hamamelis spp. 

Heteromeles spp. 

Ilex spp. 

Kalmia spp. 

Laurus spp. 

Leucothoe spp. 

Lithocarpus spp. 

Loropetalum spp. 

Lonicera spp. 
40

Magnolia spp. 

Mahonia spp. 

Maianthemum spp. 

Manglietia spp. 

Michelia spp. 

Nerium spp. 

Nothofagus spp. 

Osmanthus spp. 

Osmorhiza spp. 

Parrotia spp. 

Parakmeria spp. 

Photinia spp. 

Physocarpus spp. 

Pieris spp. 

Pittosporum spp. 

Prunus spp. 

Pseudotsuga spp. 

Pyracantha spp. 

Quercus spp. 

Rhododendron spp. 

Rosa spp. 

Rubus spp. 

Salix spp. 

Schima spp. 

Sequoia spp. 

Syringa spp. 

Taxus spp. 

Torreya spp. 

Toxicodendron spp. 

Trientalis spp. 

Umbellularia spp. 

Vaccinium spp. 

Vancouveria spp. 

Viburnum spp. 

Hosts of Oak Wilt Disease from regulated Areas: 

Castanea spp, 

Castanopsis spp. 

Lithocarpus spp. 

Quercus spp. 

Fraxinus spp. from Emerald Ash Borer infested counties in IN, 

MD, MI, OH, and VA 

Juniperus spp. from Contra Costa County CA due to Pearjuniper Rust caused by the fungus Gymnosporangium fuscum 
41

Larix spp. from Larch Canker infested counties and townships 

in ME, NH, NY, and VT 

Pinus spp. from Scleroderris Canker infested counties and 

areas in ME, NH, NY and VT 

Pinus spp. from Pine Shoot Beetle infested counties of CT, IA, 

IL, IN, MA, MD, MI, NH, NY, OH, PA, VT, WI, and WV 

Pseudolarix spp. from Larch Canker infested counties and 

townships in ME, NH, NY and VT

F. Plants which are prohibited whose origin is other than the United States and Canada: 

(NOTE: this list is subject to change - for an up to date list go to: 

http://www.inspection.gc.ca/english/plaveg/oper/prohibintere.shtml)

Abies spp. from Japan, 

Switzerland and the European 

Union, excepting Netherlands 

Abrus precatorius 

Acer spp. from any country 

except Germany, Japan, New 

Zealand and the Netherlands 

Adiantum spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Aesculus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ajania spp. 

Alnus spp. from a number of 

countries, see D-00-08 

Arbutus spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Arctostaphylos spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ardisia spp. from Switzerland, 

Norway, the European Union, 

excepting Netherlands 

Armoracia rusticiana from a 

number of countries see D-02-

06 

Azalea spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Berberis spp. all species 

Brassica spp. various species 

from a number of countries see 

D-02-06 

Calluna spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Calycanthus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Camellia spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Capsella bursapastoris from 

various countries see D-02-06 

Capsicum spp. 

Castanea spp. from 

Switzerland, Norway, and the 

European Union, excepting 

Netherlands. 

Castanopsis spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ceanothus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Cercis spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Chaenomeles spp. except from 

approved sources in Belgium, 

England, France, Germany and 

the Netherlands 

Chrysanthemum spp. 

Cinnamomum spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Clitonia spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Coincya monensis 

cheiranthose from several 

countries, see D-02-06 

Coincya wrightii from several 

countries, see D-02-06 

Cornus spp. from Switzerland, 

Norway, the European Union, 

excepting Netherlands 

Corylopsis spp. from 

Switzerland, Norway, the 

European Union, excepting 

Netherlands 

Corylus spp 

Cuscuta spp. 

Cyathea spp. from Australia 

Cydonia spp. except from 

approved sources in Belgium, 

England, France, Germany and 

the Netherlands 

Dendranthema spp. 

Dicksonia spp. from Australia 

Diplotaxis erucoides from 

several countries, see D-02-06 

Distylium spp. from 

Switzerland, Norway, the 

European Union, excepting 

Netherlands 

Drimys spp. from Switzerland, 

Norway and the European 
42

Union, excepting Netherlands 

Dryopteris spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Erica spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Eruca sativa from several 

countries , see D-02-06 

Erucastrum incanum from a 

number of countries see D-02-

06 

Erysimum cheiranthoides

from a number of countries see 

D-02-06 

Eucalyptus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Euonymus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Fagus spp. from Switzerland, 

Norway, the European Union, 

excepting Germany and 

Netherlands 

Fragaria spp. 

Frangula spp. from 

Switzerland, Norway, the 

European Union, excepting 

Netherlands 

Fraxinus spp. from Germany 

and Netherlands 

Garrya spp. from Switzerland, 

Norway, European Union, 

excepting Netherlands 

Gaultheria spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Griselina spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Hamamelis spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Heteromeles spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ilex spp. from Switzerland, 

Norway, and the European 

Union, excepting Denmark and 

Netherlands 

Isatis tinctoria from a number 

of countries see D-02-06 

Juniperus spp. from Europe, 

Asia and North Africa 

Kalmia spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Larix spp. from Europe and 

Japan 

Laurus spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Lepidium sativum from a 

number of countries see D-02-

06 

Leucanthemella serotina 

Leucothoe spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Lithocarpus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Lonicera spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Loropetalum spp. From 

Switzerland, Norway, and the 

European Union, excepting 

Netherlands 

Lycopersicum lycopersicum 

Magnolia spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Mahoberberis spp. 

Mahonia spp. 

Maianthemum spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Malus spp. except from 

approved sources in Belgium, 

England, France, Germany and 

the Netherlands 

Manglietia spp. From 

Switzerland, Norway, and the 

European Union, excepting 

Netherlands 

Michelia spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Nasturtium spp. various 

species from a number of 

countries see D-02-06 

Nerium spp. From Switzerland, 

Norway, the European Union, 

excepting Netherlands 

Nicotiana spp. 

Nipponanthemum nipponicom 

Nothofagus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Orobanche spp. 

Osmanthus spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Osmarea spp. 

Osmorhiza spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Parakmeria spp. from 

Switzerland, Norway, and the 

European Union, excepting 

Netherlands 

Parrotia spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Photinia spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Physocarpus spp. from 

Switzerland, Norway, and the 

European Union, excepting 

Netherlands 

Pieris spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Pinus spp. 

Pittosporum spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Populus spp. from Europe 

Prunus spp. except for certain 

species from approved sources 

in Germany and Netherlands 

Pseudolarix spp. from Europe 

and Japan 

Pseudotsuga spp. from 

Switzerland, Norway and the 

European Union, excepting 
Netherlands 

Pyracantha spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Pyrethrum uliginosum 

Pyrus spp. except from 

approved sources in Belgium, 

England, France, Germany and 

the Netherlands 

Quercus spp. from all countries 

except Germany, Netherlands, 

and Japan 

Raphanus spp. various species 

from a number of countries see 

D-02-06 

Rapistrum rugosum various 

species from a number of 

countries, see D-02-06 

Rhamnus spp. 

Rhododendron spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ribes spp. from Europe 

Rosa spp. from Switzerland, 

Norway, and the European 

Union, excepting except the 

United Kingdom (rooted plants 

only), Germany (approved 

facility only), the Netherlands, 

and Denmark 

Rubus spp. from Switzerland, 

Norway and the European 

Union, excepting Germany and 

Netherlands 

Salix spp. 

Schima spp. from Switzerland, 

Norway, and the European 

Union, excepting Denmark and 

Netherlands 

Sequioa spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Sinapsis spp. from a number of 

countries see D-02-06 

Sisymbrium officinale from a 

number of countries see D-02-

06 

Solanum spp. 

Striga spp. 

Syringa spp. from Switzerland, 

Norway and the European 

Union, excepting Germany 

(approved facility) and 

Netherlands 

Taxus spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Thlapsi arvense from a number 

of countries see D-02-06 

Torreya spp. from Switzerland, 

Norway and the European 

Union, excepting Netherlands 

Toxicodendron spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Trientalis spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Ulmus spp. only admissible to 

New Brunswick, Ontario and 

Quebec 

Umbellularia spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Vaccinium spp. except 

Australia 

Vancouveria spp. from 

Switzerland, Norway and the 

European Union, excepting 

Netherlands 

Viburnum spp. from 

Switzerland, Norway and the 

European Union, excepting 

Germany (approved facility) and 

Netherlands 

Vitis spp. except from approved 

sources in Germany and France 

Zelkova spp. only admissible to 

New Brunswick, Ontario and 

Quebec 
44

APPENDIX 3: APPLICATION FOR DESIGNATION IN THE UNITED STATES NURSERY 

CERTIFICATION PROGRAM 

Name of Facility: _________________________________________________________________________________ 

Certification Manager: _____________________________________________________________________________ 

Pest Control Manager: _ ____________________________________________________________________________ 

Physical Address: _________________________________________________________________________________ 

Mailing Address: __________________________________________________________________________________ 

E-mail address: ________________________________________________________________________________ 

 

Telephone No.: ______________________________________Fax No.: ___________________________________ 

_____________________________________________________________________________________________ 

Conditions for Exporting Nursery Stock to Canada under the US Nursery Certification Program (USNCP): 

1. Export shipments must consist of eligible nursery stock for exportation to Canada. 

2. Exported nursery stock must be propagated and produced in a nursery facility certified by USDA for export 

under the USNCP and as outlined in Plant Protection Quarantine Standards for Phytosanitary Measures. 

The certified facility must specify within its USNCP Manual a method of determining and maintaining 

records of the origin of any sourced material and an examination process sufficient to preclude the 

transmission of pests and diseases on that material. 

3. Records of nursery stock shipped under the USNCP must be maintained at the certified facility for at least 

three years after shipment, regardless of the current status of the nursery in the USNCP. 

4. Appropriate measures must be taken to ensure that the nursery stock to be exported is packaged and stored 

in a manner to preclude contamination by quarantine pests and remain practically free of other injurious 

pests. 

5. Exporters must design an USNCP Manual explaining how they will meet the Plant Protection and 

Quarantine Standards for Phytosanitary Measures. USDA will be responsible for the review and the 

approval of the USNCP Manual. 

6. Exporters must undergo an initial facility evaluation to ensure that the facility has the infrastructure and 

staff in place to successfully implement the phytosanitary management system outlined in its USNCP 

Manual and meet the requirements of the USNCP Standard. 

7. Exporter must perform periodic internal audits of the USNCP program and submit to external audits 

performed by APHIS and State or County co-operators. 

I, the owner/person in possession, care, or control of the above named facility 

have read and understood all the conditions and obligations stated herein by which I may export specific genera of 

nursery stock, in accordance with the USNCP. 

Further, I am and shall be responsible for and shall attach no liability to the United States Department of 

Agriculture or to any officer or representative of the Department, from and against all manners of actions, causes of 
45

action, claims, demands, loss, costs, damages, actions or other proceedings by whomsoever made, sustained, 

brought or prosecuted in any manner based upon, caused by, arising out of, attributable to or with respect to any 

failure, inadvertent or otherwise, by act or omission, to fully comply with the said conditions and requirements. 

Dated _______________ at __________________ State of _______________________ 

 

 Applicant's Signature: _____________________________________________________ 

-FOR OFFICIAL USE ONLYFacility Number (assigned by National Accreditation Manager): ______________________________________ 

USNCP Manual Approved: 

___________________________________________________ __________________________________________ 

Signature, Authorizing Official, USDA Print 

______________________ 

DATE 

Facility Evaluation Successfully Completed: 

___________________________________________________ __________________________________________ 

Signature, Authorizing Official, USDA Print 

______________________ 

DATE 

Approved for Participation in the USNCP Program: 

___________________________________________________ __________________________________________ 

Signature, Authorizing Official, USDA Print 

______________________ 

DATE 
46

APPENDIX 4: REQUIREMENTS FOR CERTIFICATION MANAGERS AND PEST 

CONTROL MANAGERS 

Certification Manager: The Certification Manager is a member of the management team of the certified 

facility vested with the authority and responsibility to develop and implement a phytosanitary 

management system that meets the requirements of the USNCP. The Certification Manager may 

designate qualified personnel or contractors to assist in the development and implementation of different 

components of the phytosanitary management system such as pest management, record keeping, and 

administration. The Certification Manager may only delegate those tasks for which there is a trained, 

competent, and qualified individual available. 

 As a minimum, the certification manager must: 

 Be a member of the management team of the facility 

 Have a thorough understanding of phytosanitary management systems 

 Have a thorough understanding of this Standard and demonstrate the capability to ensure the 

requirements described in this Standard are met 

 Be committed to ensuring compliance with Standard through implementation of the phytosanitary 

management system at the facility 

 Understand U.S. plant health export regulations and relevant Canadian import requirements 

 Ensure that employees that are designated to carry out particular activities have appropriate 

qualifications and expertise and 

 Have the ability to evaluate employee performance as related to all components of the 

phytosanitary management system operating at the facility 

Pest Control Manager (or Advisor) – The certified facility may designate a pest control manager (or 

advisor) to carry out various tasks related to the implementation of the pest management plan at the 

certified facility. The pest control manager is an individual employed by or contracted to the certified 

facility. 

At a minimum, the pest control manager must: 

 Have experience in pest management plans to ensure pest freedom in plant material 

 Have experience in liaising with local, state, federal or university/college horticultural specialists 

 Have knowledge of common pest organisms (identification, biology and host relationships), 

including local quarantine pests 
47

 Have knowledge of the recommended control procedures in accordance with EPA pesticide 

regulations and/or by label direction 

 Be capable of identifying plant material within ornamental nursery facilities 

 Understand the host plant and pest relationship for a broad range of horticultural pests 

 Have a knowledge of how to prepare and submit samples of pests to APHIS , the State 

Departments of Agriculture, or to a laboratory recognized by APHIS to receive and analyze 

samples 

 Have an understanding of APHIS export regulations and requirements and the CFIA plant health 

import regulations and requirements 

 Be able to effectively plan and conduct routine field examinations of the production areas to verify 

that all plant material is free of quarantine pests and practically free of other injurious pests 

 Be able to develop and maintain a system of documentation to verify pest freedom, attest to the 

origin of plant products, record treatments conducted within the nursery, and document 

examination results 

 Be able to establish procedures to isolate, hold, and treat infested plant material 

 Be able to establish preventative actions to minimize the risk of future infestation 

 Be capable of developing and utilizing procedures that confirm plant materials brought into the 

nursery are practically free of pests and, if infested with pests, are effectively treated to remove the 

infestation 

 Have the capacity to implement a system to ensure shipments of plants destined for export to 

Canada are completely free of quarantine pests and regulated plant pests, practically free of all 

other pest organisms, and meet the import requirements of Canada 

 Have a thorough understanding of this Standard and demonstrate the capability to carry out the 

requirements described in this Standard 

 Be committed to ensuring compliance with this Standard by managing the export production 

system (pest management plans and record retention programs) in the facility 

 Ensures that employees conducting pest control or eradication activities have expertise in 

performing those tasks 
48

 Possesses the ability to train staff who are responsible for conducting routine pest monitoring, pest 

control or eradication activities within the facility 

 Be committed to promptly notifying APHIS and the State or County Departments of Agriculture 

of all new, unusual or unidentified pest finds in the facility; and 

 Be employed or contracted to serve at a facility having received or in the process of receiving 

certification; or Be employed by a State recognized institute/organization whose business is the 

provision of independent technical services to nurseries; or Be employed by a nursery and whose 

primary function is the provision of technical services as specified by contractual agreement 

between the facility or applicant and the PCM 
49

APPENDIX 5: USNCP MANUAL TEMPLATE

NOTE: This template is intended to provide guidance to facilities in the development of their USNCP 

Manuals. In order to ensure that all requirements of the USNCP Program are met, this template must be 

used in association with the USNCP Standards in the development of the facility’s USNCP Manual. To 

expedite the review of USNCP Manuals, facilities are required to adhere to the order of components in the 

template. Failure to do so will result in return of the USNCP Manual for resubmission. 

CONFIDENTIALITY: USNCP Manuals are considered to be confidential documents. 

 GENERAL REQUIREMENTS

The USNCP Manual must be type written, dated and signed by the certification manager. The preferred 

submission method is electronic. 

The title page must include the name and address of the facility, the date, and the name and contact 

information of the person(s) who prepared the document. 

The facility’s USNCP Manual must include: 

a. An amendment sheet which provides space to document any additions, omissions or changes to 

the document, the date they were made and who authorized the change 

b. A general description of the facility’s business including: 

 Company history 

 Business objectives or mission statement 

 Acreage under production (container, field, greenhouse, etc.) 

 A brief description of production, shipping and receiving locations 

 The relationship between multiple facility locations, if applicable 

ADMINISTRATION

1). Management Commitment –The facility’s management is responsible for the development and 

maintenance of a phytosanitary management system that precludes introduction or transmission of 

quarantine or regulated pests to or from the facility. The commitment of the facility’s management will 

ultimately be responsible for the success of the program. 

The facility’s USNCP Manual must include statements in which: 

a. Management commits to ensuring that the procedures described in the USNCP Manual are 

effective for maintaining the integrity of certified plant material and that all procedures described 

therein are fully implemented 

b. Management commits to the allocation of resources necessary to implement changes, procedures, 

corrective actions and otherwise ensure compliance with the USNCP Standard 

c.

The facility’s USNCP Manual must provide the name, title, and contact information for key staff, such as: 

a. President and/or owner 

b. General Manager/Certification Manager 

c. Certification Manager (if different than above) 
50

d. Pest Control Manager 

The facility’s USNCP Manual must include the designation by management of: 

a. A certification manager and a pest control manager who have qualifications which meet the 

requirements of Appendix 4 of the USNCP Standards 

b. Qualified alternates capable of functioning in those positions in the absence of the designated 

personnel 

2). Training - Management must ensure that the facility has sufficient capable, trained staff employed to 

carry out the requirements of the USNCP Standard and must identify all employees involved in the 

implementation of the facility’s phytosanitary management system. 

I. All employees involved in implementing the phytosanitary management system must receive 

training that provides a general understanding of the USNCP program and the management 

system, and must receive specific training related to those components for which they have a 

responsibility. 

The facility’s USNCP Manual must describe the training program which covers the operational 

aspects of the USNCP, including the type of training, frequency, duration and intended audience. 

II. All propagation, production and shipping staff must be trained to visually identify pests, diseases, 

and damage or symptoms caused by pests or disease. Staff must be trained to identify common 

pests and diseases and also quarantine and regulated plant pests. 

The facility’s USNCP Manual must describe the pest detection/identification training program, 

including the type of training, frequency, duration and intended audience. 

The training program, as described in the USNCP Manual, must include: 

a. Methods of pest detection (for both general and specific pests of concern) 

b. Process of pest submission for identification 

c. Inspection of incoming plants 

d. Inspection of propagated material and/or stock plants 

e. Inspection of material to be shipped, including specific inspection requirements for specific 

plant categories 

f. General standards for all plants – Handling pest finds, reporting of pest finds, and 

recording treatments and actions. 

g. Records management – Using record keeping forms, locating forms, retaining records, and 

audit requirements. 

III. A record of staff training must be developed and retained by the facility for all training conducted. 

Records of staff training, as described in the facility’s USNCP Manual, must include: 

a. Training schedule 

b. Type of training received 

c. Date of training 
51

d. Whether training was completed satisfactorily 

e. Any additional training needs identified 

f. Names and signatures of trainees 

IV. The facility’s USNCP Manual must include an example of the training record used to document 

training as a referenced Appendix. 

V. The facility’s USNCP Manual must describe a system for maintaining training records. 

3). Staff Responsibilities – Management must assign the responsibility of implementing the USNCP to 

qualified staff members. 

The facility’s USNCP Manual must include: 

a. A list of the titles, specific duties, responsibilities and qualifications (as relates to the US Nursery 

Certification Program) of all staff involved in implementing the USNCP 

b. Specific names for those positions and qualified alternates specified in a referenced Appendix 

c. Management’s mandatory designation of specific individuals to fill the Certification Manager and 

the Pest Control Manager (or Pest Control Advisor) positions whose qualifications meet the 

requirements specified in Appendix 4 

d. Management’s mandatory designation of specific qualified alternates for the positions of 

Certification Manager and Pest Control Manager 

e. A description of other specific positions as applicable: 

 Grower 

 Pesticide Applicator 

 Receiving Manager 

 Shipping Manager 

 Dispatcher 

 Others – specify 

PEST MANAGEMENT PLAN 

1). Incoming Material: All sources of new plant material must be identified, including on-site 

propagation and outside sources. The country of origin for each source of new plant material must be 

identified. The inspection of all incoming plant material must be documented, including the inspection 

process, results of the inspection, and any actions taken as the result of pest finds. 

The facility’s USNCP Manual must describe: 

a. All sources for new plant material. A list of suppliers for plant material acquired from offsite 

sources should be provided in an appendix. If the supplier list changes frequently, the appendix 

can describe where the supplier list is kept at the certified facility and who is responsible for 

maintaining the list instead of providing the names of the suppliers. 

b. Measures to ensure that documentation is maintained to support the origin of all plant material. 

c. Measures to comply with any pest-specific, origin-specific or commodity-specific phytosanitary 

requirements of the CFIA or USDA 

d. Measures to maintain the identity of the plant material within the facility from receiving until 

shipping 
52

e. Measures to maintain records verifying plant material meets the requirements for sourcing as 

outlined in Section 2.2 of the USNCP Standard. 

f. Measures to ensure all plant material entering the facility is free of quarantine and regulated plant 

pests and practically free of non-regulated plant pests 

g. Measures to mitigate the risk of introducing and transmitting plant pests 

h. Procedures to ensure new plant material remains physically separated from other plant material 

until an examination is completed and the material is found free of plant pests 

i. Procedures for the inspection of plants received at the facility, including the titles of staff 

positions responsible for conducting the inspection 

j. Procedures to be followed if quarantine, regulated or non-regulated plant pests are found during 

the receiving inspection 

k. Records of inspection results: 

 Type and quantity of material inspected 

 Origin of material 

 Date of inspection 

 Name of person(s) conducting the inspection 

 Pests/diseases detected and control methods used 

f. An example of the incoming inspection record must be provided in a referenced Appendix. 

2). Production Process: The inspection and phytosanitary management practices conducted at various 

locations/stages of the production process must be documented. In addition to specifying details of the 

inspection process, responsible staff members should be identified. 

The facility’s USNCP Manual must describe: 

a. Physical layout of the facility and the flow of plant material through the facility and illustrate it on 

a labeled map of the facility in a referenced appendix. 

b. Procedures to maintain product identity within the facility 

c. Procedures or processes designed to eradicate, control or suppress past populations to a level that 

meets the phytosanitary standard of freedom from quarantine and regulated plant pests and 

practical freedom from non-regulated plant pests. This may be included as a referenced appendix. 

d. Methods, frequency and intensity of the inspection of all plant material in the facility 

e. Procedures for documenting inspection results, including: 

 Type and quantity of material inspected 

 Location of material inspected 

 Date of inspection 

 Name of person(s) conducting the inspection 

 Description of pests found 

 Corrective actions taken as the result of pest finds 

 Methods to evaluate the efficacy of corrective actions taken 

f. Procedures to be followed if pests are found, including: 

 Identification of unknown pests 

 Response to a non-regulated pest find 

 Response to a quarantine or regulated pest find 

 Notification of the certification manager immediately in the event of a suspected quarantine or 

regulated pest find 
53

 Notification of USDA and State and/or County Departments of Agriculture in the event of a 

quarantine or regulated pest find 

 Treatment or disposal of plant material contaminated by quarantine or regulated plant pests 

g. Procedures for maintaining records of inspections, pest finds, pest submissions, pest 

identifications, and corrective actions taken for at least 3 years 

h. Examples of inspection records, corrective actions/treatment records, and pest submission records 

in a referenced appendix 

In cases where additional pest or commodity specific quarantine requirements apply to the facility, or to 

products produced by the facility, the facility’s USNCP Manual must describe: 

a. Procedures to describe how each of the specific quarantine requirements are met 

b. The name (s) and qualifications of any laboratories used to meet testing requirements 

c. Procedures for maintaining records which document that specific quarantine requirements have 

been met

3). Outgoing Materials – The inspection process for plant material shipped from the facility must be 

documented, including the details of the inspection, the staff responsible for the inspection and results of 

the inspection. 

 

The facility’s USNCP Manual must describe procedures for: 

a. Internal notification process that identifies export shipments 

b. Maintaining product identity 

c. Inspecting plant material to be exported or shipped from the facility including: 

 Inspection of foliage and stems 

 Inspection of Soil and/or roots 

 Inspection of packing material and/or shipping containers 

d. Handling pests detected during the shipping inspection 

e. Documenting the shipping inspection including: 

 Type and quantity of material inspected 

 Origin of plant material 

 Date of inspection 

 Name of person conducting the inspection 

 Pests detected and methods used to control pests 

f. Maintaining records of shipping inspections, pest finds, pest submissions, pest identifications 

and corrective actions taken 

g. Tracing product backwards and forwards from the facility 

h. Preventing certification of non-conforming product under the USNCP and contamination of 

other products 

i. Handling, storing and delivering product which has been examined and found free of pests to 

ensure it is not contaminated prior to receipt by the consignee 

j. Ensuring all pest and commodity specific requirements are met prior to shipping 

k. Maintaining records that verify all plant material shipped under the USNCP meets the 

requirements of Section 2.2 (Sourcing of Plant Material), Section 2.3 (Eligible Plant Taxa) and 

Section 2.4 (Propagative Origin) of the USNCP Standards 
54

l. Examples of shipping inspection records, corrective actions/treatment records and pest 

submission records included as a referenced appendix 

PHYTOSANITARY MANAGEMENT SYSTEM

The USNCP Manual must describe the Phytosanitary Management System used by the facility to 

consistently meet all the requirements of the USNCP. This includes the sourcing of plant material, 

maintaining of product identity, shipping of certified plant material and control of non-conforming 

products previously addressed in this template. Other aspects of the phytosanitary management system 

include: 

1.) Internal Audits: The certification manager must perform, or designate parties to perform, a minimum 

of one systems audit and three surveillance audits per year. Internal audits are to be conducted as per 

Section 5.1.4 of the USNCP Standard. 

The facility’s USNCP Manual must describe procedures for: 

a. Conducting internal audits according to the frequency specified in the USNCP Standard 

b. Preparing an internal audit report within two weeks of the audit 

c. Designating responsible staff member(s) to conduct the audits 

d. Generating corrective action requests for each non-conformance identified and classifying each 

non-conformance as critical, major or minor 

e. Completing corrective actions in a timely fashion and preventing reoccurrences of nonconformances 

f. Notifying USDA and the State or County Department of Agriculture when any critical nonconformance is present or suspected in the facility or in product purchased or sold by the facility 

2). Records Management – Access to USNCP records should be restricted to responsible parties. 

Records must be maintained for a minimum of three years, regardless of the current status or participation 

of the facility in the USNCP. 

The USNCP Manual must include: 

a. Names, titles and responsibilities of persons who will be able to make alterations to records 

b. Procedures for maintaining all documents, reports and records associated with the USNCP 

program for three years, regardless of the facility’s status or participation in the USNCP 

c. Procedures to ensure the most up-to-date versions of the following reference documents are 

readily available to all individuals implementing the USNCP: 

 CFIA Import Policy Directives 

 USDA 7 CFR 319.37 and Plant Protection Act of 2000 

 USDA and CFIA Regulated Plant Pest Lists 

 USNCP Standards 

 Certified Facility’s USNCP Manual 

 Any pertinent local or federal pest regulations 

3). Record of USNCP Manual Changes – A record of all changes to the USNCP Manual, such as 

revisions to the Appendixes, must be maintained, along with a copy of the USNCP Manual in its original 

form. All changes must be approved by APHIS prior to implementation. 
55

APPENDICES 

Following are items that may be better addressed in the form of appendices. In cases where forms 

are supplied, forms must be identified in such a manner that their purpose is clear. Each appendix 

must be clearly labeled. In some cases, use of an introductory page may be necessary for clarity. 

Suggested titles follow. Each title would be a separate appendix. Additional appendices may be 

necessary depending on the facility’s operations.

Pest Management Plan 

Aspects of the facility’s Pest Management Plan not included elsewhere in the manual, including processes 

designed to eradicate, control or suppress pest populations to a level that meets the phytosanitary 

standard. 

Identification for Unknown Pest and Disease

A sample of forms used to submit unknown pests or diseases for identification. 

Pest Treatment 

Details of the treatment process followed when pests are found, such as: 

 Pest Identification 

 Treatment: chemical application or release of biological control agents 

 Disposal of product that cannot be treated successfully 

 Re-inspection for the identified pest within a specified time frame 

 Re-treatment if necessary. If treatments are unsuccessful, specify what will be done with the 

infested/infected plants. 

Pest Treatment Records

An example of a treatment record form/log and any other forms used by the facility to order treatments 

and verify the efficacy of treatments used. 

Inspection Document

Examples of the forms used to record inspections of incoming plant material, plant material during 

production, and plant material being shipped. Inspection documents should include: 

 Type and quantity of plant material inspected 

 Origin of plant material 

 Type of inspection 

 Date of inspection 

 Name of inspector 

 Pest finds 

 Method of control used 
56

 Treatment process 

 Verification of efficacy of treatment 

Managerial and Staff Responsibility for the USNCP Program

 List of managerial personnel with names, respective duties and chain of reporting, if applicable 

 Designation of Certification Manager and Pest Control Manager by name and title at the facility 

 List of staff with responsibilities related to the USNCP including names, titles, and specific duties 

 Alternatives names must be specified for each listed position 

Seasonal Employees 

A current list of seasonal employees who have responsibilities for this program 

Restricted Products

 List of plants grown by the nursery or brought in from outside sources that are prohibited for 

export to Canada under the USNCP 

 Description of a system which will automatically identify those plants and prohibit their inclusion 

in shipments for export to Canada under the USNCP

Suppliers/Sources of New Plant Material

 List of suppliers for plants bought for resale and propagation, including contact information 

 List of suppliers, including contact information, of plants which are bought for propagation 

 Countries of origin for foreign origin plant material 

Phytosanitary Certification Procedure

Documentation of the procedure followed to obtain a phytosanitary certificate for each shipment 

including:

 Notifying APHIS or State Department of Agriculture that phytosanitary certification is required.

 Supplying APHIS or State Department of Agriculture with the required documentation by the 

certified facility

 Obtaining phytosanitary certificate from APHIS or the State Department of Agriculture 

 Preparing and providing documentation packet for border clearance 

Nurseries that have successfully completed their first year of participation will be authorized to issue their 

own phytosanitary certificates in PCIT. Nurseries should add information on who will be responsible for 

issuing the USNCP certificates in PCIT and how they will keep track of all phytos issued using this 

system. 
57

Export of Non-Prohibited Plant Material Which is not Eligible for the USNCP 

A description of the process which would be followed for the export of plant material which is allowed to 

be exported to Canada but which is not eligible for export under the USNCP. For practical purposes, this 

would be a description of the steps taken to obtain traditional phytosanitary export inspection/certification 

USDA, APHIS, PPQ Standards for Phytosanitary Measures 

A description of where the USNCP Standards for Phytosanitary Measures are kept at the facility. In 

addition, the person responsible for ensuring that the Standard is current and available to employees 

should be listed. 

Software Tracking of Plant Material (if applicable)

A description of software tracking in place at the facility for plant material (if applicable). 

Facility Map

 A map of the nursery facility which identifies all locations of the nursery specifically referred to in 

the facility’s USNCP Manual 

 An illustration of the flow of plant material through the certified facility 

Internal Audits

 An example of the internal audit checklist 

 An example of a corrective action request 

Pest Control Modules

 Any modules written to address the detection and control of specific regulated pests 
58

APPENDIX 6: USNCP FACILITY APPROVAL AND APHIS AUDITS 

This appendix describes the procedures and criteria that APHIS should use to review facility applications, 

evaluate USNCP Manuals, and approve facilities to participate in the USNCP. In addition, it outlines 

how audits must be conducted at facilities certified under the USNCP and defines the responsible parties. 

APHIS Regional Trade Program Managers are responsible for the delivery of the USNCP within their 

respective regions. To ensure consistency across the program, audit inspections will be conducted in 

accordance with the specifications outlined in this appendix. The process by which such audits are 

conducted should be complimentary to the requirements of this Standard. 

I. Facility Approval Process 

A. Application Process/Review of Application Forms 

 Eligible applicants are nurseries and greenhouses located in the United States. In situations where 

an applicant has distinct separate facilities, each facility will require a separate USNCP manual 

and a separate application form. A separate facility is one that is under different management 

and/or is under an autonomous management structure. Contract growers should also be evaluated 

using these criteria and the APHIS Accreditation Manager and Regional Trade Program Manager 

will make the final determination as to their status as a facility. 

Applicants will provide the State Plant Health Director, or their designee, with copies of their 

application (Appendix 3) and USNCP Manual. The application and the USNCP Manual will be 

forwarded to the Regional Trade Program Manager and National Accreditation Manager. 

The Regional Trade Program Manager or designee will review the Application For Designation in 

the United States Nursery Certification Program (Appendix 3) for completion and to ensure that 

the facility meets the participation conditions described in Section 3.1.1 of the USNCP Standard. 

Once the application has been reviewed for basic eligibility, copies of the application and USNCP 

Manual will be supplied to the State and/or County Department of Agriculture and the National 

Accreditation Manager. The facility will have 120 days from submission of their application to 

submit their USNCP Manual for review. The facility can apply for one extension of 60 days. 

B. Review of the USNCP Manual 

 Once the USNCP Manual is submitted, APHIS, in conjunction with the State and/or County 

Departments of Agriculture, will establish a manual review group. The group will review the 

facility’s USNCP Manual to ensure that it contains all the required elements outlined in Section 

5.0 and is sufficient to meet all other requirements of this standard. Appendix 4 outlines 

components which must be addressed in the USNCP Manual and establishes a preferred order of 

presentation for those components. Addendum 1 contains a checklist that should be used as a tool 

for evaluating the USNCP Manual. APHIS may require the facility to revise or rewrite their 

USNCP Manual prior to proceeding to the next step in the approval process. The review team will 

communicate their findings to the Regional Program Manager and the National Accreditation 

Manager (or their designees). The National Accreditation Manager will have the final authority 
59

for approving the USNCP Manual. Once APHIS has approved the USNCP Manual, the facility 

will move to the next phase of the approval process, the Facility Evaluation. The Regional 

Program Manager will complete the relevant portion of the APHIS Application For Designation in 

the United States Nursery Certification Program and forward the application to the National 

Accreditation Manager. 

C. Facility Evaluation 

 Once the application and the USNCP Manual have been approved, an audit team will be 

established to carry out a facility evaluation (Addendum 2). The audit team will consist of APHIS 

and State or County inspectors. During the pilot program, APHIS personnel will have the 

responsibility of functioning as the lead auditors and, as such, will be responsible for the 

preparation of the facility evaluation/audit report. 

The purpose of the facility evaluation is to determine whether the facility has the infrastructure 

and staff in place to successfully implement the phytosanitary management system outlined in its 

USNCP Manual and to meet the requirements of the USNCP. The Facility Evaluation must be 

carried out as described under APHIS Audits in Section II of this appendix and a copy of the 

Facility Evaluation/Audit Report must be submitted to the Regional Program Manager, National 

Accreditation Manager, and the facility within 21 days of the evaluation. If any discrepancies are 

noted or changes mandated as a result of the initial facility evaluation, the nursery will be notified 

at the time of the closing meeting. A return visit to the facility might be necessary in order to 

verify compliance, prior to recommendation for approval. 

D. Registration 

Once the National Accreditation Manager has reviewed the Audit Report from the facility 

evaluation and is satisfied that the facility has the capacity to effectively implement all the 

procedures described in their USNCP Manual, the National Accreditation Manager will send the 

facility an Accreditation Letter and assign the facility a unique identification number. At that 

time, the facility can be considered to be a Certified Facility. 

The State Plant Health Director responsible for the state in which the newly certified facility is 

located will be notified of the facility’s certified status by the National Accreditation Manager and 

will add the facility to the list of certified facilities in that state. 

II. APHIS External Audits 

 The Regional Program Manager, or designee, is responsible for the implementation and delivery 

of USNCP external audits within his/her respective regions The Regional Program Manager will 

designate a Lead Auditor who is responsible for selecting, or designating the selection of, the other 

audit team members. The composition of the audit team should be changed for each audit and 

consist of APHIS personnel (one of whom will serve as lead auditor) and personnel from State 

and/or County Departments of Agriculture. The audit team should make every effort possible to 

respect the rules, regulations, and customs of the Certified Facility. 

For both systems audits and surveillance audits, the audit team must consist of a Lead Auditor and 

one or more Audit Team Members, depending on the size of the facility. The minimum 
60

requirements for each of these roles are described below: 

The Lead Auditor for Systems Audits and Facility Evaluations must: 

 Be a designated by the Regional Program Manager 

 Have successfully completed an APHIS approved Lead Auditor training course 

 Have successfully completed the APHIS Understanding Audit course; and 

 Have participated previously as an auditor in Plant Health audits. 

The Lead Auditor for Surveillance Audits must: 

 Be a designated by the Regional Program Manager 

 Have successfully completed the APHIS Understanding Audit course or an approved Lead 

Auditor training course; and 

 Have participated as an auditor previously in Plant Health audits. 

An Audit Team Member must: 

 Be an APHIS designated Federal, State or County official; 

 Have successfully completed the APHIS Understanding Audit course, or an APHIS 

approved Lead Auditor Course; and 

 Have a minimum of one year experience in the delivery of Plant Health programs. 

A. Audit Preparation 

 The lead auditor must identify members of the audit team and contact the Certified Facility to 

confirm the audit appointment. The lead auditor should convey APHIS’ expectations for the audit, 

including: what facility staff needs to be available for the audit, office space for the audit, and the 

purpose and scope of the audit. The lead auditor must also ensure that he/she has the most recent 

copy of the Certified Facility’s USNCP Manual, previous audit reports, reference materials, copies 

of relevant directives, and any other necessary documentation. Additional information on APHIS 

audits of the USNCP can be found in Section 3.4 of this Standard. 

B. Document Review: USNCP Manual 

 The audit inspection team must conduct a thorough review of changes to the facility's USNCP 

Manual, previous audit reports, and CARs. 

C. Planning the Audit 

 Prior to the audit, the lead auditor must develop a specific audit plan outlining areas to focus on. A 

checklist for an audit plan is found in Addendum 1 The focus of the audit will be determined by 

taking into account previous audits and facility performance between audits. In addition, the audit 

team must meet prior to the audit to discuss the purpose and scope of the audit, review the audit 

checklist (Addendums 2 or 3), review previous audit reports, and assign tasks. 
61

D. Opening Meeting 

 The lead auditor must arrange an opening meeting of the audit inspection team with the key senior 

management, the Certification Manager, the Pest Control Manager, and any other relevant staff of 

the participating facility. The purpose of the meeting is to discuss audit criteria, availability of 

staff, method of performing the audit, method of handling any non-conformances found, details of 

the closing meeting, and the distribution of the audit report. A checklist for this meeting is found 

in Addendum 5. 

E. Auditing 

 Audit team members must record their observations and findings during the audit. The audit 

checklists, such as those in Addendums 2 and 3 of this Standard should be used to ensure that the 

audit is carried out systematically and objectively, but auditors are encouraged to ask questions not 

included on the checklist. Audit records must include the following information: 

 Date 

 Names of all the members of the audit team 

 Name and address of the facility 

 Areas of the facility audited 

 Observations and findings of the audit 

 Estimated dates of future audits 

 Other comments or observations 

 References to any CARs 

 1. Systems Audits and Facility Evaluations 

The systems audit must be conducted by means of staff interviews, observation of activities, 

examination of documents and records, examination of the USNCP Manual, and confirmation of 

the facility’s ability to carry out the Phytosanitary Management System as described in the 

USNCP Manual. The audit team must obtain sufficient objective evidence to: 

 Assess the adequacy and effectiveness of the Phytosanitary Management System in 

meeting the requirements specified in the Standards for Phytosanitary Measures of the 

USNCP, CFIA import requirements for nursery stock, and APHIS domestic movement 

requirements; 

 Determine whether required supporting documentation is sufficient, current and readily 

available to staff; 

 Determine that work is being performed in accordance with the procedures specified in the 

USNCP Manual and appropriate records are being kept; 

 Evaluate whether procedures in place are adequate to ensure pest problems are quickly 
62

identified and appropriate actions are taken; and 

 Verify the country of origin of plant material shipped under the USNCP. 

 2. Surveillance Audits 

 Surveillance audits must be conducted by means of staff interviews, observations of activities, 

examination of documents and records, monitoring equipment and sampling techniques, making 

selective spot inspections of plant material, and other activities as deemed necessary by the audit 

team. The audit team must obtain sufficient objective evidence to verify: 

 Internal audits are performed, CARs are generated, and corrective actions completed; 

 Plant material within the facility has remained free of all regulated pests and practically 

free of all other pests; 

 Plant material shipped under the USNCP meets the eligibility, sourcing, and country of 

origin requirements specified in the Standards for Phytosanitary Measures of the United 

States Nursery Certification Program; 

 Adequate records and documents are maintained. 

F. APHIS Audit Team Meeting/Audit Review 

 The audit team must meet prior to the closing meeting to review the audit findings and evaluate 

any non-conformances that are detected (Appendix 7). All findings of non-conformance must be 

recorded onto USNCP Corrective Action Request (CAR) forms (Appendix 8). The audit team 

must assess the current status of the facility and determine if the facility status will change as a 

result of the findings of the audit and when the next audit will be conducted. Please refer to 

Section 3.5 of the Standard for information on facility status and frequency of audits. 

G. The Closing Meeting 

 The Certification Manager and the Pest Control Manager must meet with the APHIS audit team 

(after the internal audit team meeting) to review the audit findings, discuss any non-conformances, 

and decide upon an action plan for correction. A checklist for this meeting is found in Addendum 

6. The lead auditor must inform the Certification Manager and senior management of any changes 

in the facility status at the closing meeting. In addition, any critical non-conformances must be 

reported, resulting in immediate suspension of the facility from the USNCP (Section 3.5.3). 

If the facility is to be suspended from the USNCP as a result of findings during the audit, the lead 

auditor must verbally inform the Certification Manager of the suspension at the closing meeting 

and must collect all Phytosanitary Certificates. 

The lead auditor must notify the Regional Program Manager and the National Accreditation 

Manager in writing of the suspension. The State Plant Health Director, or designee, must review 

and sign the audit report that describes the non-conformances that have lead to the suspension and 

forward this document to the Regional Program Manager. The Regional Program Manager will 

notify the National Accreditation Manager who must notify the facility in writing of their 

suspension. 
63

H. Audit Report 

 The lead auditor is generally responsible for producing an Audit Report within twenty one (21) 

days of the audit. If the facility is moved to conditional status, or is suspended from the USNCP, a 

signed report must be produced within five (5) working days of the audit. Addendum 7 contains a 

checklist that is designed to facilitate the production of an Audit Report. The lead auditor must 

distribute a final copy of the Audit Report along with a cover letter to the Certification Manager at 

the Certified Production Facility, audit team, State or County Department of Agriculture, State 

Plant Health Director, Regional Program Manager, Trade Director for Canada, and National 

Accreditation Manager. 
64

APPENDIX 7: CLASSIFICATION OF USNCP NON-CONFORMANCES 

Critical Non-Conformance 

A critical non-conformance is any single finding that reveals that the integrity of the USNCP is 

jeopardized. Phytosanitary Certificates cannot be issued because this non-conformance violates the 

integrity of the certificate. The facility must be immediately suspended from the USNCP. The 

following list provides examples of critical non-conformances, but it is not comprehensive.

___ Detection of pests of quarantine significance to Canada or the United States on plant material that 

has been shipped by the certified facility. 

___ Failure to properly identify an organism as a regulated pest in the nursery or seek competent 

assistance with the identification. 

___ Failure to undertake required laboratory tests or analysis. 

___ Failure to carry out control measures at the facility for pests of quarantine significance to the United 

States or Canada. 

___ Failure to notify APHIS and the State or County Department of Agriculture of the presence of 

regulated pests at the facility or on product shipped to or from the facility. 

___ Failure to observe Canadian or provincial plant health requirements. 

___ Export of ineligible plant taxa or plants not meeting CFIA requirements. 

___ Failure to list the scientific name of all the plants on USNCP certification documents. 

___ Failure to keep consistent, accurate pest management records, as specified in the USNCP Manual. 

___ Failure to keep consistent accurate records of country of origin. 

___ Failure to undertake ordered corrective action(s). 

___ Failure to follow treatment actions ordered by the Certification Manager, APHIS, or State or County 

Departments of Agriculture. 

___ Failure to perform internal audits as required. 

___ Failure of the Certified Facility to provide sufficient evidence that plant materials obtained from 

external sources meets the requirements for incoming plant material as described in their USNCP 

Standard. 

___ Certified Facility is operating without a Certification Manager or Pest Control Manager meeting the 

qualifications set out in Appendix 4. 

___ Failure to have a Pest Management Plan in place that satisfies the requirements of the USNCP. 

___ Modification of their USNCP Manual or phytosanitary management system without prior approval 

from APHIS. 

___ Failure to examine incoming plant material prior to moving it into shipping/production areas. 

___ Failure to have systems in place to fulfill the requirements of the USNCP and to verify compliance. 
65

___ Failure to have sufficient, adequately trained staff in place to meet the requirements of the USNCP. 

___ More than two major non-conformances are detected at a Certified Facility during a single audit. 

Major Non-Conformance 

A major non-conformance is any single, isolated incident of non-conformance that has no direct 

impact on the integrity of the product provided corrective actions are completed within the time 

frame specified by the lead auditor. Should the facility fail to complete the corrective action in the 

specified time frame, the non-conformance becomes a critical non-conformance and the facility will 

be suspended from the USNCP. If more than two major non-conformances are detected during a 

single audit, the non-conformance is considered a critical non-conformance and the facility will be 

suspended from the USNCP. The following list provides examples of major non-conformances, but 

it is not comprehensive.

___ Failure to notify APHIS when the Certification Manager changes. 

___ Failure to have a designated backup for the Certification Manager and Pest Control Manager. 

___ Failure to maintain complete reports of the shipping inspection of plant material. 

___ Failure to keep nursery stock that has been examined for export separate from other plant material 

that has not been examined. 

___ Failure to notify APHIS of a change in sources of re-sale or propagative stock. 

___ Failure to undertake corrective actions ordered by the Certification Manager in a timely manner. 

___ Failure to provide staff and contractors access to documents as specified in Section 5.1.6. 

___ Failure to prevent build-up of non-regulated plant pest populations. 

___ Failure to observe good facility management practices with respect to sanitation. 

___ Failure to maintain records as specified in USNCP Manual. 

___ Failure of the Certification Manager and Pest Control Manager to obtain additional relevant training 

each year. 

___ Failure to maintain training records for staff involved in implementing the USNCP 

___ Failure to maintain an up-to-date list of all employees involved in implementing the USNCP. 

___ Failure to examine plant material prior to export. 

___ Failure to consistently sign and date reports or records. 

___ More than three minor non-conformances are detected at a Certified Facility during a single audit 

Minor Non-Conformance 

Minor non-conformances are those that do not immediately or significantly affect the status of the 

product or the integrity of the Phytosanitary Certificate, but could lead to a major nonconformance if not addressed. The designated facility must take remedial action before the next 
66

audit, or within the time frame specified by the lead auditor. If more than three minor nonconformances are detected during the inspection, the classification of the non-conformance is 

changed to a major. (e.g. Five minor non-conformances are equal to one major non-conformance 

and one minor non-conformance, whereas eight minor non-conformances are equal to two major 

non-conformances and results in suspension of the facility). The following list provides examples of 

minor non-conformances, but is not comprehensive.

___ Failure to notify APHIS of changes to plant product source lists. 

___ Failure to adequately separate stock infested with non-regulated plant pests from other stock. 

___ Failure to effectively dispose of products contaminated by non-regulated plant pests. 

___ Failure to detect low level populations of non-regulated pests. 

___ Failure to inform APHIS of any changes to business practices as outlined in the USNCP Manual. 
67

APPENDIX 8: UNITED STATES NURSERY CERTIFICATION PROGRAM CORRECTIVE 

ACTION REQUEST 

 CAR #

Facility Name 

 

Address

Facility Location

 

Date Certification Manager / 

Internal Auditor

APHIS Auditor

External Audit __ Internal Audit __ Critical Major Minor

Description of non-conformance: 

 

 

Signature of Auditor:_____________ Date Issued: _____________

Corrective Action: 

 

 

Facility Representative:_____________ Date for Completion: _____________

Corrective Action Acceptable: __ yes __ no

Follow-up Comments: 

 

CAR Closed Signature of Auditor: Date

NOTE:

Critical - When an audit reveals that the integrity of the program is in jeopardy the non-conformance is 

Critical (Cr). The designated facility will be suspended from the program until remedial action has been 

taken to the satisfaction of APHIS. 

Major - When an audit reveals an isolated incident having no direct impact on the integrity of the product 

the non-conformance will be rated as Major (Ma). The designated facility must take remedial action within 

the time frame specified by an inspector which shall not exceed 2 weeks. Should the facility fail to 

complete the corrective action in the specified time frame, the facility will be suspended. If more than two 

Major non-conformances are detected during the inspection, the classification is changed to Critical. 

Minor - When an external audit reveals an incident which does non immediately and/or significantly affect 

the integrity of the program or product, the non-conformance is Minor (Mi). The designated facility must 

take remedial action within the time frame agreed to by the inspector. If more than three Minor nonconformances are detected during the inspection, the classification is changed to Major.
68

APPENDIX 9: UNITED STATES NURSERY CERTIFICATION PROGRAM 

OBSERVATION REPORT 

 Observation #

Facility Name 

 

Address

Facility Location

 

Date Certification Manager / 

Internal Auditor

APHIS Auditor

External Audit __ Internal Audit __ Suggestion for Improvement 

__

Observation of good Practices 

__

Observations: 

 

 

Signature of Auditor:_____________ Date Issued: _____________

Follow- up Comments: 

 

 

Suggestion Implemented: __ yes __ no 

Observation Closed __ Signature of Auditor: Date
69

ADDENDUM 1: USNCP MANUAL CHECKLIST 

The USNCP Manual must describe the procedures implemented by the facility to ensure 

compliance with the requirements of the USNCP standard. The USNCP Manual consists of a 

general overview of the facility and detailed information on its implementation of the USNCP. It 

has two key components: the Phytosanitary Management System and the Pest Management Plan. 

Please refer to Section 5.0 of this directive for additional information. The following checklist is 

designed to be a guide for APHIS staff evaluating USNCP Manuals. 

I. General Requirements 

___ The USNCP Manual must be type written, dated and signed. Electronic submission of the 

document is preferred. 

___ The title page which includes the name and address of the facility, the date, and the name and 

contact information of the person(s) that prepared the document. 

___ An amendment sheet that provides space to document any additions, omissions or changes to 

the document, the date they are made and who authorized the changes. 

II. Administration 

1. 

___ 

Management Commitment 

A statement of commitment to the USNCP by management of the facility. 

___ List of facility management names and titles. 

2. Training 

___ Description of training covering operation aspects of USNCP 

___ includes type of training, frequency, duration and intended audience 

Description of pest detection/identification training including 

_ Methods of pest detection (for both general and specific pests of concern) 

_ Process of pest submission for Identification 

_ Inspection of incoming plants 

_ Inspection of propagated material and/or stock plants 

_ Inspection of material to be shipped, including specific inspection requirements for 

specific plant categories 

_ General standards for all plants – how to handle pest finds, reporting of pest finds, 

recording of treatments/actions 

_ Type of training, frequency, duration and intended audience 

_ Training on records management 

___ Record of staff training including: 

_ Training schedule 

_ Type of training received 

_ Date of training 
70

_ Whether training was completed satisfactorily 

_ Additional training needs identified 

_ Names and signatures of trainees 

___ Description of system for maintaining training records 

___ Example of training record in a referenced appendix 

3. Staff Responsibilities 

___ Designation of the Certification Manger and Pest Control Manager 

_ Designation of CM and PCM alternates

___ Name, title, qualifications, specific duties and responsibilities of all staff involved in 

implementing the USNCP, including: 

_ Certification Manager 

_ Pest Control Manager or Advisor 

_ Grower 

_ Pesticide Applicator 

_ Shipping Manager 

_ Dispatcher 

_ Other 

III. Pest Management Plan 

1. Incoming Material

Identification of all sources of new plant material 

_ List of suppliers and origin included for offsite sources

Measures to maintain documentation supporting the origin of all plant material

Measures to comply with pest-specific, origin-specific, or commodity specific phytosanitary 

requirements of USDA and CFIA

___ Procedures for maintaining product identity within the facility from receiving until shipping 

___ Measures to ensure sourced plant material is free of pests of concern and the risk of 

introducing and transmitting plant pests is mitigated 

___ Description of a record-keeping system that verifies all plant material certified under the 

USNCP meets the standards for sourcing as outlined in Section 2.2 of this Standard

___ Procedures to ensure that new plant material remains physically separated from other plant 

material until examination is completed and material is found free of pests 
71

___ Procedures for inspection of plants received at the facility including: 

_ Titles of staff positions responsible for conducting inspections 

___ Procedures to be followed if quarantine, regulated, or non-regulated plant pests are found 

during the receiving inspection 

___ Description of inspection results, including 

_ Type (genus and species/cultivar) 

_ Quantity of material inspected 

_ Country or state of origin 

_ Date of inspection 

_ Name of person conducting inspection 

_ Pests/diseases detected 

_ Methods of control used 

Example of incoming inspection form in a referenced appendix 

2. Production Process

Description of the physical layout of the facility and the flow of plant material through the 

facility

Labeled map of the facility in a referenced appendix 

Diagram of the flow of material through the facility in a referenced appendix 

Procedures to maintain product identity within the facility

Procedures to eradicate, control, or suppress pest populations to a level that meets the 

phytosanitary standard

Description of methods, frequency, and intensity for inspection of all plant material in the 

facility

Procedures for documenting inspection results, including: 

_ Type (genus and species/cultivar) of material 

_ Quantity of material inspected 

_ Location of material inspected 

_ Date of inspection 

_ Name of person conducting inspection 

_ Pests/diseases detected 

_ Corrective actions taken 

_ Methods to evaluate the efficacy of control measures 
72

___ Description of procedures to be followed is pests are found including 

_ Identification of unknown pests 

_ Response to non-regulated pest find 

_ Response to quarantine or regulated pest find 

_ Notification of the certification manager immediately in the event of a suspected 

quarantine or regulated pest find 

_ Notification of the USDA and State and/or County Departments of Agriculture in the 

event of a quarantine or regulated pest find 

_ Treatment or disposal of plant material contaminated by quarantine or regulated plant 

pests 

___ Procedures for maintaining records of inspections, pest finds, pest submissions, pest 

identifications, and corrective actions 

Included in a referenced appendix are examples of: 

_ Inspection records 

_ Treatment records 

_ Pest submission records 

In cases where additional pest or commodity specific quarantine requirements apply to the 

facility or to products produced by the facility: 

_ Procedures describing how each of the specific quarantine requirements are met 

_ Name and qualification of any laboratories used to meet testing requirements 

Procedures for maintaining records documenting specific quarantine requirements 

have been met 

3. Outgoing Materials

___ Procedures for the internal notification process identifying export shipments

___ Procedures for handling pests detected during the shipping inspection 

___ Procedures for maintaining product identity 

___ Procedures for the inspection of plant material to be exported or shipped from the facility 

including procedures for inspection of: 

_ Foliage and stems 

_ Soil and/or roots 

_ Packing material and/or shipping containers 

___ Procedures for documenting the shipping inspection including: 

_ Type (genus and species/cultivar) of material 

_ Quantity of material inspected 

_ Origin of plant material 

_ Date of inspection 

_ Name of person conducting the inspection 

_ Pests detected and methods used to control pests 
73

___ Procedures for maintaining records of shipping inspections, pest finds, pest submissions, pest 

identifications, and corrective actions taken 

___ Examples of shipping inspection records, corrective actions/treatment records, and pest 

submission records in a referenced appendix 

___ Procedures for tracing product backwards and forwards from the facility 

___ Procedures to ensure non-conforming product is not certified under the USNCP and does not 

contaminate other products 

___ Procedures for handling, storing, and delivering product to ensure it has been examined and 

found free of pests and is not contaminated by pests prior to receipt by the consignee 

___ Procedures to ensure all pest and commodity specific requirements are met prior to shipping 

___ Description of record keeping procedures which verify all plant material shipped under the 

USNCP meets the requirements of Section 2.2 (Sourcing of Plant Material), Section 2.3 

(Eligible Plant Taxa) and Section 2.4 (Propagative Origin) of the USNCP Standard 

III. Phytosanitary Management System 

1. Internal Audits 

___ Procedures to ensure internal audits are conducted according to the frequency specified in the 

USNCP Standard 

Procedures in place to ensure the audit report is completed within two weeks of the audit 

___ Procedures to maintain detailed records of all non-conformances, corrective actions, audits, 

and follow-up examinations to verify compliance with this Standard

___ Procedures for conducting internal audits including: 

_ Designation of responsible staff member 

_ Procedures to ensure an auditor does not audit his/her own work 

___ Examples of the internal audit reports and checklists in a referenced appendix 

___ Procedures to generate Corrective Action Requests for each non-conformance that is detected 

by the Certified Production Facility 

___ Procedures to classify each non-conformance as critical, major, or minor in nature 

___ Procedures to complete corrective actions in a timely fashion

___ Procedures to prevent recurrences of non-conformances, including amendments to the 

USNCP Manual 
74

___ Procedures used to immediately notify APHIS and the State and/or County Departments of 

Agriculture regarding the presence, or suspected presence, of any critical non-conformance in 

the facility or on product purchased or sold by the facility 

2. Records Management 

___ List of the names, titles, and responsibilities of persons who have access to the records for 

alteration purposes 

Procedures for maintaining all documents, reports, and records associated with the USNCP 

program for three years, regardless of the facility’s status or participation in the USNCP 

Procedures to ensure the most up-to-date versions of the following reference documents are 

readily available to all individuals implementing the USNCP: 

_ CFIA Import Policy Directives 

_ USDA 7 CFR 319.37 and Plant Protection Act of 2000 

_ Pertinent federal regulations for regulated pests 

_ USDA and CFIA Regulated Plant Pest Lists 

_ Copies of the USNCP Standard 

_ Copies of the Certified Facility’s USNCP Manual 

3. Record of USNCP Manual Changes 

___ Procedures to maintain a record of all changes to the USNCP Manual along with a copy of 

the USNCP Manual in its original form

IV. Appendices

___ All appendices are clearly labeled and easily identified

___ Pest Management Plan

_ Written plan describing additional aspects of the pest management plan not previously 

described in the USNCP Manual 

___ Scouting Form 

_ An example of the form used to scout for pests during the production cycle 

___ Identification Form for Unknown Pests and Diseases

_ A clearly labeled example of the form submitted with unknown pests and diseases 
75

___ Pest Treatment Procedure

_ Treatment process followed when pests are found 

_ Process followed to identify unknown pests 

_ Description of treatment: chemical application, release of biological control agents, 

or disposal method of product which can not be treated 

_ Re-inspection requirements, including time frame, for identified pests 

_ Conditions for re-treatment, if necessary 

_ Procedure if treatments are unsuccessful including disposition of infested/infected 

plants 

_ Procedure for containing infestation of pest or disease

Pest Treatment Records 

___ Example of pest treatment record clearly labeled 

Inspection Documents 

 Example of an incoming material inspection form which contains: 

_ Type (genus and species/cultivar) of material 

_ Quantity of material inspected 

_ Origin of plant material 

_ Type of inspection 

_ Date of inspection 

_ Name of inspector 

_ Pest finds 

_ Control method used 

_ Pest treatment process 

_ Verification of treatment efficacy 

 Example of a shipping inspection form which contains: 

_ Type (genus and species/cultivar) of material 

_ Quantity of material inspected 

_ Origin of plant material 

_ Type of inspection 

_ Date of inspection 

_ Name of inspector 

_ Pest finds 

_ Control method used 

_ Pest treatment process 

_ Verification of treatment efficacy

___ Managerial and Staff Responsibilities

_ List of managerial personnel that includes names, duties, and the chain of reporting, if 

applicable 

_ Designation of Certification Manager and Pest Control Manager by name and title 

_ List of staff including, names, titles, specific duties, and responsibilities as related to 

this program 
76

Seasonal Employees 

_ Includes a current list of seasonal employees who have responsibilities under the 

USNCP

Restricted Products 

_ List of plants grown by the nursery or brought in from outside sources that are 

prohibited for export to Canada under the USNCP 

_ Description of a system which will automatically identify those plants and prohibit 

their inclusion in shipments for export to Canada under the USNCP

___ Suppliers/Sources of New Plant Material 

_ List of suppliers, including contact information, for plants bought for resale 

_ List of suppliers, including contact information, of plants bought for propagation 

_ Origin of incoming plant material

___ Phytosanitary Certification Procedure 

Documentation of the procedure which must be followed to obtain a phytosanitary certificate 

for each shipment including:

_ Notifying APHIS or State Department of Agriculture that a phytosanitary certification 

is required.

_ Supplying APHIS or State Department of Agriculture with the required 

documentation by the certified facility

_ Obtaining phytosanitary certificate from APHIS or the State Department of 

Agriculture 

_ Preparing and providing documentation packet for border clearance

Nurseries that have successfully completed their first year of participation will be authorized 

to issue their own phytosanitary certificates in PCIT. Nurseries should add information on 

who will be responsible for issuing the USNCP certificates in PCIT and how they will keep 

track of all phytos issued using this system. 

___ Export of Non-Prohibited Plant Material Which Is Not Eligible for the USNCP 

_ Process followed for the export of plant material which is allowed to be exported to 

Canada but is not eligible for export under the USNCP

___ USDA, APHIS, PPQ Standards for Phytosanitary Measures

_ Location of USNCP Standards at the facility 

_ Designation of staff member responsible for making sure the Standard is current and 

available to employees involved in the USNCP 

___ Software Tracking of Plant Material (if applicable)

_ Description of software tracking for plant material at the facility (if applicable) 

___ Facility Map 

_ Map of the nursery facility identifying all locations specifically referred to in the 

facility’s USNCP Manual 

_ Map or diagram illustrating the flow of plant material through the facility
77

Internal Audit 

___ Example of an internal audit checklist 

___ Example of a corrective action request

Comments: 
78

ADDENDUM 2: USNCP FACILITY EVALUATION CHECKLIST 

Pilot Version 

Date of Evaluation / / 

Type of Evaluation initial re-instatement (circle one) 

Name of Facility 

Address of Facility 

 

Facility Site Evaluated 

Objective 

Initial facility evaluation is required for acceptance into the United States Nursery Certification Program (USNCP). 

The purpose of the initial facility evaluation is to determine whether the facility has the infrastructure and staff in 

place that would permit it to successfully implement the phytosanitary management system outlined in its approved 

USNCP Manual and meet the requirements of the USNCP. Additionally, a facility evaluation is required for reinstatement when a participant is suspended from the program and requests to be recertified. The re-instatement 

facility evaluation will determine whether the facility has made the required corrections to their operations, USNCP 

Manual or both. This checklist provides guidelines for the facility evaluation team and is not intended to restrict 

topics the team can evaluate. The facility evaluation provides an opportunity for the applicant nursery staff to ask 

questions and obtain clarification on the USNCP. 

Scope 

All areas of the facility will be physically inspected. The team will verify that the actual nursery operations 

correspond to the phytosanitary management system described in their USNCP Manual and conform to the 

requirements of the program. In the case of a re-instatement evaluation, the team will verify that all the required 

corrections requested by the audit team that suspended the participant have been completed. Required 

modifications to nursery operations, the USNCP Manual, or both are communicated to the facility’s staff through 

Corrective Action Requests. 

Definitions 

USNCP Manual – the Manual which is created by and for each individual nursery which contains the approved 

systems approach the facility will follow for exporting nursery stock to Canada via the United States Nursery 

Certification Program (USNCP). The manual is submitted to APHIS for approval. 
79

USNCP - United States Nursery Certification Program – program that utilizes a systems approach for nursery stock 

for export certification to Canada.

CITES – Convention on International Trade in Endangered Species (of wild fauna and flora) – is an international 

agreement between governments. Its aim is to ensure that international trade in specimens of wild animals and 

plants does not threaten their survival. 

Note: Additional definitions are available in the USNCP export production manual. 

Lead Evaluator 

Evaluation Team Members 

 

 

Facility Representative 

 

Facility Participants 

 

Reference Documents: 

USNCP Manual 

Pilot Version USDA APHIS Plant Protection and Quarantine Standards for Phytosanitary Measures 

Plant Protection Act and Regulations; 

Applicable Canadian Food and Inspection Agency Directives 
80

Evaluation 

Item Receiving / Shipping Area 

Yes No

Corrective 

Action Due 

Date

1 The map of the facility in the approved USNCP Manual accurately reflects the actual 

physical receiving / shipping areas and the flow of plant material through them. 

  See comments section 

 

2 Plant source / supplier list is available and current. Available 

  See comments section Current 

3 Propagative origins of all plants are identifiable and traceable. Identifiable 

  See comments section Traceable 

4 Staff working in these areas can explain and demonstrate the system used to identify and 

trace the propagative origins of all plants. 

 

  See comments section 

 

 

5 Operational procedures, and record keeping methods for these areas are accurately described and reflected in the approved USNCP Manual. 

 Receiving 

  See comments section Shipping 

6 In cases where additional pest or commodity specific quarantine requirements apply to 

the facility or the products produced, the staff working in these areas can describe how 

these additional requirements will be met. 

  See comments section 

 

7 Staff is trained in the use of all forms used for logging inspections; identifying, tracking 

and treating pests; and taking corrective action. 

 

  See comments section 

 

 

 

8 Plant material inspection records are available, legible, and completely filled out. 

 Available 

 Legible

  See comments section Complete 
81

9 A procedure is in place for ensuring that USDA / USDA Cooperators are notified immediately of any pest finds of significance, and that it is accurately described and 

reflected in the approved USNCP Manual. 

 Procedure in place 

 

  See comments section Reflected in manual 

10 The actual procedures in place to dispose of pest contaminated plant material that has been determined untreatable are accurately described and reflected in the approved 

USNCP Manual. 

 Receiving 

  See comments section Shipping 

 

11 Shipping records pertaining to customers / consignees are available. (traceability) 

  See comments section 

 

12 A current list of all the plant species that are shipped by the facility under USNCP is available. 

 Available 

 

  See comments section Current 

13 A current list of the prohibited plants for Canada is available for use by the shipping staff. 

 Available 

 

  See comments section Current 

 

 

14 A current list of CITES regulated plants or the CITES website URL is available for use 

by the shipping staff. 

 Available 

 

 Current 

  See comments section Website 

15 The staff working in the receiving / shipping areas have been trained in their responsibilities for the USNCP. Receiving 

 

  See comments section Shipping 

 
82

16 Actual record keeping and back-up procedures being utilized for these areas are accurately described and reflected in the approved USNCP Manual. 

 Receiving 

  See comments section Shipping 

17 USNCP records for these areas are located in the facility as described in the approved USNCP Manual. 

 Receiving 

  See comments section Shipping 

 

18 The staff working in these areas understands that USNCP records are required to be backed-up, and maintained for three years. 

 Receiving 

  See comments section Shipping 

 

19 Corrections that were required in these areas for facility re-instatement to the program have been completed. 

 Receiving 

  See comments section Shipping 

 

OTHER AREAS, PROCEDURES, or PRACTICES EVALUATED 
83

Item 

Receiving / Shipping Area COMMENTS (list item # that your comments address) 

 
84

Item Administration / Records 

Yes No

Corrective 

Action Due 

Date

1 A current, approved USNCP Manual is available to all staff members. (If hard copy is NOT current, check “No” for hard copy and provide comments in comment section) 

 Hard copy 

  See comments section Electronic copy 

2 Manual amendment records are current and complete. Current 

  See comments section Complete 

3 The map of the facility in the approved USNCP Manual accurately reflects the actual 

physical site. 

  See comments section 

 

4 The flow chart of the production system in the USNCP Manual accurately reflects the 

actual operation of the facility. 

  See comments section 

 

5 Plant source / supplier list is available and current. Available 

  See comments section Current 

6 Propagative origins of all plants are identifiable and traceable throughout the system . 

 Identifiable 

  See comments section Traceable 

7 Staff working in administration / record keeping can explain and demonstrate the system 

used to identify and trace the propagative origins of all plants. 

 

  See comments section 

 

8 In cases where additional pest or commodity specific quarantine requirements apply to 

the facility or the products produced, the staff working in these areas can describe how 

these additional requirements will be met. 

  See comments section 

 

9 A current list of prohibited plants for Canada is available for use by the staff. Available 

 

  See comments section Current 
85

 

 

10 A current list of CITES regulated plants or the CITES website URL is available for use 

by the shipping staff. 

 Available 

 

 Current 

  See comments section Website 

11 A current list of all the plant species that are shipped by the facility under USNCP is available. 

 Available 

 

  See comments section Current 

12 Staff working in these areas are familiar with all forms used for the USNCP and make them available to the entire nursery staff. 

 Familiar 

  See comments section Available 

 

 

13 Training records for staff working in these areas are available, current, and legible. 

 

 Available 

 Current 

 

  See comments section Legible 

14 Staff working in the administration / record keeping areas have been trained in their 

responsibilities for the USNCP. 

  See comments section 

 

15 The staff is aware of the requirement for internal and annual audits, and understands the procedure for completing them as described in the approved USNCP Manual. 

 Aware 

 

  See comments section Understood 

 

16 Actual record keeping and back-up procedures being utilized are accurately described 

and reflected in the approved USNCP Manual. 

  See comments section 

 

17 USNCP records and back-up records are located in the facility as described in the 

approved USNCP Manual. 

 

  See comments section

 
86

18 The staff working in this area understands that USNCP records are required to be 

backed-up, and maintained for three years. 

 

  See comments section 

 

19 If applicable, Corrective Action Request records are available, and legible. Available 

  See comments section Legible 

 

 

20 Corrections that were required in these areas for facility re-instatement to the program 

have been completed. 

 

  See comments section 

 

OTHER AREAS, PROCEDURES, or PRACTICES EVALUATED 
87

Item 

Administration / Records COMMENTS (list item # that your comments address) 

 
88

Item Propagation / Production 

Yes No

Corrective 

Action Due 

Date

1 The map of the facility in the approved USNCP Manual accurately reflects the actual physical propagation / production areas and flow of plant material through them. 

 Areas 

  See comments section Flow 

2 Operational procedures, and record keeping methods for these areas are accurately described and reflected in the approved USNCP Manual. 

 Propagation 

  See comments section Production 

3 Propagative origins of all plants are identifiable and traceable throughout the propagation / production process. 

 Identifiable 

  See comments section Traceable 

4 Staff working in these areas can explain and demonstrate the system used to identify and 

trace the propagative origins of all plants. 

 

  See comments section 

 

5 In cases where additional pest or commodity specific quarantine requirements apply to 

the facility or the products produced, the staff working in these areas can describe how 

these additional requirements will be met. 

  See comments section 

 

6 Staff is trained in the use of all forms used for the USNCP relating to these areas. 

 

  See comments section 

 

7 Staff is aware that a required procedure is in place for ensuring that USDA / USDA 

Cooperators are notified immediately of any pest finds of significance, and that it is 

accurately described and reflected in the approved USNCP Manual. 

  See comments section 

 

8 The staff working in the propagation / production areas have been trained in their 

responsibilities for the USNCP. 

  See comments section 

 
89

 

 

9 Staff training records for these areas are available, current, and legible. Available 

 Current 

  See comments section Legible 

 

10 Actual record keeping and back-up procedures being utilized in these areas are 

accurately described and reflected in the approved USNCP Manual. 

  See comments section 

 

11 USNCP records for these areas are located in the facility as described in the approved 

USNCP Manual. 

  See comments section 

 

12 The staff working in these areas understands that USNCP records are required to be 

maintained and backed-up for three years. 

  See comments section 

 

13 Corrections that were required in these areas for facility re-instatement to the program 

have been completed. 

  See comments section 

 

 

OTHER AREAS, PROCEDURES, or PRACTICES EVALUATED 
90

Item 

 Propagation / Production COMMENTS (list item # that your comments address) 
91

Item Scouting / Pest Control 

Yes No

Corrective 

Action Due 

Date

1 The location of the records for these areas are accurately described in the approved 

USNCP Manual. 

  See comments section 

 

2 Actual operational procedures, and record keeping methods for these areas are described and reflected in the approved USNCP Manual. 

 Scouting 

  See comments section Pest Control 

3 In cases where additional pest or commodity specific quarantine requirements apply to 

the facility or the products produced, the staff working in these areas can describe how 

these additional requirements will be met. 

  See comments section 

 

4 Staff is trained in the use of all forms used for logging inspections; identifying, tracking 

and treating pests; and taking corrective action. 

  See comments section 

 

5 A procedure is in place for ensuring that USDA / USDA Cooperators are notified 

immediately of any pest finds of significance, and that it is accurately described and 

reflected in the approved USNCP Manual. 

  See comments section 

 

 

 

6 If applicable, scouting records are available, legible, and completely filled out. 

 Available 

 Legible 

 

  See comments section Complete 

 

 

 

 

7 If applicable, pest control application records are available, legible, and completely filled 

out. 

 Available 

 Legible 

 

  See comments section Complete 
92

8 The actual procedures in place to dispose of pest contaminated plant material that has been determined untreatable are accurately described and reflected in the approved 

USNCP Manual. 

 Propagation 

  See comments section Production 

9 The staff working in the scouting / pest control areas have been trained in their 

responsibilities to USNCP. 

  See comments section 

 

 

 

10 Training records are available, current, and legible. 

 Available 

 Current 

 

  See comments section Legible 

11 Actual record keeping and back-up procedures being utilized for these areas are 

accurately described and reflected in the approved USNCP Manual. 

  See comments section 

 

12 USNCP records for these areas are located in the facility as described in the approved 

USNCP Manual. 

  See comments section 

 

13 The staff working in these areas understands that USNCP records are required to be 

maintained and backed-up for three years. 

  See comments section 

 

14 Corrections that were required in these areas for facility re-instatement to the program 

have been completed. 

  See comments section 

 

 

OTHER AREAS, PROCEDURES, or PRACTICES EVALUATED 
93

OTHER AREAS, PROCEDURES, or PRACTICES EVALUATED

Item 

Scouting / Pest Control COMMENTS (list item # that your comments address) 
94

ADDENDUM 3: USNCP AUDIT CHECKLIST 

Objective 

Regular audits are required for participation in the United States Nursery Certification Program (USNCP). The 

purpose of the audits is to determine whether the facility is implementing the phytosanitary management system 

and pest management plan outlined in its USNCP Manual. Facilities will be audited against the USNCP Standards 

for Phytosanitary Measures and the USNCP Manual of the facility. 

Scope 

This checklist provides guidelines for the audit team and provides a basic framework for audit topics and questions. 

Interviews with facility staff are an important component of all audits. Audit team members should conduct 

interviews with facility staff, using mostly open ended questions, in order to determine how to evaluate 

conformance with the items listed on the audit checklist. To facilitate document review and verify the facility’s 

ability to maintain the identity of product throughout the nursery, audit team members may consider using a 

USNCP phytosanitary certificate issued during the period of time being audited as a starting point for their inquiry. 

In addition to examining documentation, the audit team may observe employees performing tasks required by the 

USNCP and examine plant material. Auditors should provide any comments in the question box, at the end of the 

section, or the end of the checklist. Auditors MUST provide explanatory comments for any items for which the 

facility is found to be in non-conformance (i.e. “NO” is checked for the item on the audit checklist). 

Systems Audit: All areas of the facility will be physically inspected. The team will verify that the actual nursery 

operations correspond to the phytosanitary management system and the pest management plan described in the 

facility’s USNCP Manual. The audit team will verify that the plan implementation conforms to the requirements of 

the program. Required modifications to nursery operations, the USNCP Manual, or both are communicated to the 

facility’s staff through Corrective Action Requests (Appendix 8 USNCP Standards). Audit team members can also 

issue USNCP Observation Reports (Appendix 9 USNCP Standards) to identify areas of concern which do not 

warrant a corrective action request, reinforce positive practices, or suggest improvements. 

Surveillance Audit: Surveillance audits focus on one or more aspects of the facility’s operation and may 

include physical verification of the pest management plan through random inspection of plant material. 

Surveillance Audits provide a continual monitoring and verification of the status of the certified facility’s plant 

material, records, and administrative procedures to ensure conformity with the USNCP Standards. At least one 

surveillance audit must be carried out during a period of active plant growth. Corrective Action Requests and 

Observation Reports are used to communicate necessary changes and suggested improvements. 

Definitions 

USNCP Manual – a procedural manual developed by each participating facility, which contains the systems 

approach the facility will follow for exporting nursery stock to Canada via the United States Nursery Certification 

Program (USNCP). The manual is approved by APHIS prior to the facility’s entry in the USNCP. 

USNCP - United States Nursery Certification Program 

Reference Documents: 

USNCP Manual 

Pilot Version USDA APHIS Plant Protection and Quarantine Standards for Phytosanitary Measures 

Plant Protection Act and Regulations; 

Applicable Canadian Food and Inspection Agency Directives 
95

 Date (s) of Audit: Type of Audit: 

⁪ Surveillance ⁪ Systems 

Area(s) Audited: 

⁪ Shipping ⁪ Receiving ⁪ Administration/Records ⁪ Propagation/Production ⁪ Scouting/ Pest Control 

Facility Name: 

 

Physical Address: 

Mailing Address: 

Facility Representative: Contact Number: 

Email Address: 

Facility Participants (including designated role in the USNCP): 

 

 

Lead Auditor: 

Audit Team Members and Affiliation: 
96

Item Receiving and Shipping 

Yes No N/A

Receiving and Shipping 

1 The map of the facility in the USNCP Manual accurately reflects the Physical layout actual physical layout of the receiving and shipping areas and the 

flow of plant material through them. 

 Flow of material

 

 

2 Operation procedures, and record keeping methods in the receiving and Receiving 

shipping areas are implemented as described in the USNCP Manual. 

 Shipping 

 

 

3 USNCP records for shipping and receiving are located in the facility Receiving as described in the approved USNCP Manual. 

 

 Shipping 

 

 

4 The staff working in shipping and receiving understands that USNCP Receiving records are required to be maintained for three years. 

 Shipping 

5 Staff is aware and trained in the use of all forms used for logging inspections; Aware identifying, tracking and treating pests; and taking corrective actions. 

 Trained

 

 

6 A procedure is in place to manage pests found during receiving Procedure in place or shipping inspections and is implemented as described in the USNCP 

Manual. 

 Implemented per USNCP Manual 

7 A procedure is in place for ensuring that USDA/State/County Procedure in place Department of Agriculture is notified immediately of any pest finds of 

significance in the facility or on product purchased or sold by 

the facility. The procedure is implemented as described in the 

USNCP Manual. Implemented per USNCP Manual 

 

 

 

8 Procedures to dispose of pest-contaminated plant material that has been Receiving determined to be untreatable are implemented as described in the USNCP 

Manual. 

 Shipping 

9 Procedures are in place to ensure that facility staff immediately Procedure in place notify the Production Manager of any product found not to 

conform to the requirements of the USNCP and 

the procedures are implemented as described in the Implemented per USNCP Manual 

USNCP Manual.

 
97

Receiving 

10 Plant source / supplier list is available and current. Available 

 Current 

11 A current list of all plant species that are received by the Available facility is available. 

 Current 

12 Documents and invoices indicating the source, type, quantity, and dates of receipt are 

available to the audit team. 

 

13 Origin of all plant material brought into the nursery is identifiable Identifiable and traceable. 

 Traceable 

14 New plant material remains physically separated from other plant material at the nursery 

until an examination of the material is completed and the material is found to be free of 

plant pests. 

 

15 Measures are in place at the nursery to mitigate the risk of introducing plant pests with 

incoming plant material. For example, is incoming plant material isolated from 

production stock? How long is it isolated? Where? 

 

Shipping 

16 A current list of all the plant species that are shipped by the facility under Available USNCP is available. 

 Current 

 

17 A current list of the prohibited plants for Canada is available for use by Available the shipping staff. 

 Current 

 

 

18 A current list of CITES regulated plants or the CITES website URL is Available

available for use by the shipping staff. 

 Current 

 Website 

19 A system is in place to ensure that only eligible plant material is shipped under the 

USNCP. 

 
98

20 The Production Manager can demonstrate that all pest 

and commodity specific requirements are met prior to shipping. 

 

21 A list of plants shipped by the facility that have specific requirements and a description 

of those requirements are readily available. This higher risk plant material might include 

plants that are hosts to specific pests of concern, plants imported from outside continental 

North America, plants exported to Canada that have additional certification standards, or 

stock plants that are held for more than a growing season. 

 

 

 

22 System for maintaining records is sufficient to track the content, Content

destination, and customers/consignees for all shipments. 

 Destination 

 

 Customer 

23 The facility has a system in place to ensure that all shipments certified under the USNCP 

are accompanied by the appropriate documentation. 

 

24 Documentation accompanying all USNCP shipments indicates the scientific name of all 

plants in the shipment. 

 

25 A procedure is in place to ensure that outgoing plant material is Procedure in place examined not more than one (1) week prior to shipping and the 

procedure is implemented as described in the USNCP Manual. 

 Implemented per USNCP Manual 

 

 

 

 

26 All outgoing plant material is inspected and inspection records are available, Inspected

legible, and contain the date of inspection, person carrying out inspection, 

pests found, and any corrective actions taken. Legible Records

 

Complete Records 

 

 

27 Handling, storage, and delivery procedures are in place to ensure that Handling

product that has been examined and is verified free of pests is not 

contaminated by pests prior to its receipt by the consignee. Storage

 Delivery 
99

Comments: 

Item Administration and Records 

Yes No N/A

28 A current approved USNCP Manual is available to all staff members. Hard copy 

 

 Electronic copy 

29 Manual amendment records are current and complete including any additions, omissions, or changes to the document, the date Current

they were made, and who authorized the change(s). 

 Complete 

30 State and/or Country and APHIS have been notified of any changes to the USNCP 

Manual or facility prior to their implementation. 

 

31 All reports or records are signed and dated. Signed 

 Dated 

32 All USNCP phytosanitary certificates can be accounted for using the system in place. 

33 The facility has a system in place to trace plant materials forward and backward from the 

facility. 

 

34 Plant source / supplier list is available and current. Available 

 Current 

35 A procedure is in place to maintain all records and back-up all electronic records for 3 years and the procedures are implemented as described Procedure in place

in the USNCP Manual. 

 Implemented per USNCP Manual 
100

36 USNCP records and back-up records are located in the facility as described in the 

approved USNCP Manual. 

 

37 The staff working in administration and record keeping are aware Aware and understand that USNCP records are required to be maintained 

and backed-up (electronic records) for three years regardless of the 

status of the nursery in USNCP. Understands 

38 Staff is aware of all forms used for the USNCP and makes them available to the entire nursery staff. Aware

 

 Available 

 

 

39 The facility has a suitable training system in place to ensure that each person involved in 

implementing USNCP is aware of the duties of their job under USNCP. 

 

 

 

 

 

 

 

40 Training records for staff working in shipping, receiving, pest Shipping

control, scouting, propagation, and production are available, 

current, and legible. Receiving 

 Pest Control 

 Scouting 

 Propagation 

 Production 

 Admin/Record Keeping 

 

41 The staff is aware of the requirement for internal and external Aware audits and understands the details of the procedure for completing 

audits as described in the USNCP Manual. 

 Understands

 

 

42 Procedures are in place and implemented to ensure that one internal systems audit and 

four internal surveillance audits are performed each year. At least one audit is done 

during the growing season and one during the shipping season. 

 

43 Procedures are in place and implemented to ensure that auditors do not audit their own 

work during internal audits. 

 

44 Internal audit records are available and include identified non-conformances and 

corrective actions taken. 

 

45 Procedures are in place and implemented that ensure that corrective actions requests are 

generated for each non-conformance detected during an internal audit. 

 
101

46 Procedures are in place and implemented to ensure that internal audit non-conformances 

are classified as critical, major, or minor. 

 

47 Required corrective actions from a previous internal audit have been implemented within 

the time frame specified on the CAR. 

 

48 Internal audit reports are prepared after each audit within the time period specified in the 

USNCP Manual of the facility. 

 

49 Detailed records of external audits, including documentation of all non-conformances, corrective actions, audits, and follow-up Available

examinations, are available and legible. 

 Legible 

 

 

50 Procedures are in place and implemented to prevent recurrences of non-conformances 

found during external audits. For example, was the manual amended? Were employees 

retrained? 

 

51 Corrective action requests from an external audit have been addressed in the time period 

specified on the CAR. 

 

 

 

 

 

 

 

52 Name, title, qualifications, specific duties, responsibilities, and Certification Manager 

a qualified alternate for all staff involved in implementing the 

USNCP are stated for each for each position listed: Pest Control Manager

 

Grower 

Pesticide Applicator 

Shipping Manager 

Dispatcher 

Other Positions 

53 Contact information for the Certification Manager and Pest Control 

Manager and their back-ups is current. 

 

54 State/County and APHIS have been notified if the Certification Manager, Pest Control 

Manager, and/or their designated back-ups changed. 

 
102

 

 

 

 

55 Up-to-date copies of the following reference documents are readily CFIA directives 

available to all staff involved in the USNCP: 

Plant Protection Act and Regulations 

USNCP Manual approved by APHIS 

List of quarantine pests of concern to Canada and the USA 

Pertinent federal regulations for certified 

facilities in areas with regulated pests 

 

Comments: 

Item Propagation / Production 

Yes No N/A

56 The map of the facility in the USNCP Manual accurately reflects the Areas physical layout of the propagation and production areas and flow of 

plant material through them. 

 Flow 

 

57 The propagative origins of all plants are identifiable and traceable Identifiable through the propagation process. 

 Traceable 

 

 

58 The propagative origins of all plants are identifiable and traceable Identifiable through the production process. 

 Traceable 

 

 

59 Staff is aware and trained in the use of all forms used for the Aware USNCP relating to propagation. 

 Trained 
103

60 Staff is aware and trained in the use of all forms used for the Aware USNCP relating to production. 

 Trained 

61 A procedure is in place for ensuring that APHIS and the Procedure in place State/County are notified immediately of any pest finds 

of significance and the procedure is implement as described 

in the USNCP Manual. Implemented per USNCP Manual 

62 Record keeping procedures being utilized in propagation Propagation and production are implemented as described in the USNCP 

Manual. 

 Production 

63 The staff working in propagation and production understands that all USNCP records are 

required to be maintained and backed-up (electronic records) for three years. 

 

64 Treatments, cultural practices, or other measures in place to Procedure in place ensure that the product meets the phytosanitary requirements 

of the USNCP are implemented as described in the USNCP 

Manual. Implemented per USNCP Manual 

65 Systems in place to trace a plant within the facility through the Propagation 

propagation and production cycles are demonstrated to be effective. 

 Production 

66 The Production Manager ensures, and can demonstrate, that all pest and commodity 

specific requirements are met prior to shipping. 

 

Comments: 
104

Item Scouting / Pest Control 

Yes No N/A

67 The map of the facility in the USNCP Manual accurately reflects the actual physical 

layout of the scouting and pest control office and areas. 

 

 

68 The facility has implemented a Pest Management Plan as outlined in their USNCP 

Manual. 

 

69 Operational procedures and record keeping methods for scouting Scouting and pest control are accurately described are implemented as 

described in the USNCP Manual. 

 Pest Control 

70 Staff in scouting and pest control can describe their scouting Scouting and pest control duties in relation to the USNCP. 

 Pest control 

71 Staff in scouting and pest control understand that USNCP Scouting records are required to be maintained and backed-up (electronic 

records) for three years. Pest control 

72 Staff is aware and trained in the use of all forms used for logging Aware inspections; identifying, tracking and treating pests; and 

implementing corrective action. 

 Trained

 

 

73 A procedure is in place for ensuring that APHIS and the Procedure in place State/County are notified immediately of any pest finds 

of significance and the procedure is implemented as described 

in the USNCP Manual. Implemented per USNCP Manual 

 

 

74 Scouting records are available, legible, and completely filled out Available

showing the date of examination, the person carrying out the 

examination, any pests found, and any corrective actions taken. Legible

 Complete 

75 A description is available of the scouting methods used to examine all plant material in 

the nursery. 

 

76 A list of quarantine pests of concern to CFIA and USDA is available. 
105

77 Unknown pests or diseases are documented and submitted to an Documented approved laboratory or agency for identification. 

 Submitted 

 

 

78 Pest control application records are available, legible, and Available

completely filled out including a description of the treatment, 

date of application, name of applicator, location, reason for the Legible

treatment, and any follow up required. 

 Complete 

79 Procedures are in place and implemented that ensure effective treatment Propagation or disposal of products that are contaminated by non-regulated plant pests. 

 Production 

80 A list of regulated plant pests that have additional requirements that the facility must 

address is available. 

 

81 Procedures to address specific regulated pests are implemented as described in applicable 

pest control modules of the USNCP Manual. 

 

82 Procedures are in place and implemented to ensure expedient control or eradication of 

non-regulated pests discovered during examinations or audits. 

 

83 Facility maintains a description and documentation of pest control strategies used to 

maintain freedom from quarantine pests and practical freedom from other injurious pests. 

 

83 Staff can provide a description of pest control strategies used to maintain freedom from 

quarantine pests and practical freedom from other injurious pests. 

 

Comments: 
106

Comments: 
107

ADDENDUM 4: USNCP AUDIT PLANNING CHECKLIST 

This checklist is designed to help auditors prepare for the audit of Certified Facilities participating in the 

USNCP. 

The following issues have been considered: 

___ Meeting rooms, work space, phone, fax 

___ Shift start and end times 

___ Sanitation issues (e.g. disinfect shoes, first facility of the day) 

___ Dress code and safety requirements 

___ Special events (e.g. company events, etc.) 

___ Photocopier/computer 

___ Travel to and between sites 

___ Special access requirements (e.g. phytosanitary issues) 

___ Weather conditions 

___ Audit scope and objectives: 

 Systems or Surveillance Audit? 

 What area or department is to be audited? 

 What is audit expected to verify or discover? 

 What information will be required? 

 What will not be included in the audit? 

___ The depth of the audit: Will audit include a detailed review of every element or specific processes? 

___ Employees: 

 Develop an interview list by identifying individuals that have significant direct 

responsibilities in the implementation of the USNCP. 

 Develop a list of backups to interview, in case the first choices are not available. 

 How long will these interviews take? 

 Where will these interviews occur? 

___ Obtain a copy of the Certified Facility’s current USNCP Manual. 
108

___ Identify members of the Audit Team. 

 How many people are needed to conduct the audit? 

 What special skills or experience is required? 

 How many people will you need based on: 

___ Scope of Audit 

___ Size of Certified Production Facility 

___ Location of Certified Production Facility 

___ Results of previous audits 

___ Effectiveness of previous corrective actions 

___ Effectiveness of internal audits 

___ Date(s) for the audit. 

 How many days are needed based on the scope and the objective of the audit? 

___ Schedule of meetings with management, including the Certification Manager and the Pest Control 

Manager. 

___ Confidentiality requirements. 

 Who will have access to the audit results? 

 Considerations for “confidentiality” for employees of the Certified Facility. 

___ Audit report and distribution and expected date of issue. 

 Who will receive copies of the final audit report? 

 When will the audit report be issued? 

___ Send a letter (or email) to confirm the audit date and time. 
109

ADDENDUM 5: USNCP AUDIT OPENING MEETING CHECKLIST 

Date: __________________________ 

Facility Name: _____________________________________________________________ 

Facility Address:____________________________________________________________ 

Type of Audit: _____________________________________________________________ 

Scope of Audit: _____________________________________________________________ 

Item Activity Complete 

1 Introduction of audit team and facility staff. 

2 Completion of attendance list, confirm taking of minutes. 

3 Confirm purpose and scope of audit. 

4 Explain audit process. 

5 Explain non-conformances and CARs. 

6 Explain how results will be documented. 

7 Explain reporting process and follow up process. 

8 Confirm any confidentiality requirements. 

9 Discuss any special safety requirements. 

10 Confirm audit program/plan. 

11 Confirm office facilities, lunch arrangements, etc. 

12 Confirm availability of guides and interviewees. 

13 Confirm arrangements for a facility tour. 

14 Agree on a tentative time for the closing meeting. 

15 Invite Certification Manager and senior management to attend closing 

meeting. 

 
110

ADDENDUM 6: USNCP AUDIT CLOSING MEETING CHECKLIST 

Date: __________________________ 

Facility Name: ______________________________________________________________ 

Facility Address:_____________________________________________________________ 

Type of Audit: _______________________________________________________________ 

Scope of Audit: ______________________________________________________________ 

Item Activity Complete 

1 Re-confirm purpose and scope of audit. 

2 Confirm someone is taking minutes. 

3 Announce results. 

4 Explain non-conformances and CARs. 

5 Give summary of audit, include positive aspects. 

6 Announce intended issue date for the Audit Report. 

7 Request response date for CARs. 

8 State the facility status that will be recommended to APHIS 

Headquarters. 

 

9 Discuss any observations/concerns. 

10 Discuss date for next audit. 

11 Thank facility staff for assistance and cooperation. 
111

ADDENDUM 7: USNCP AUDIT REPORT PREPARATION CHECKLIST 

This list is designed to facilitate the creation of an Audit Report following an audit of a USNCP facility. 

___ Describe the scope of the audit. 

___ State of objectives of the audit. 

___ Include a distribution list for the Audit Report (see Appendix 6, Section H “Audit Report”). 

___ Provide specific details, such as: 

 Dates and location of the audit, 

 Names of the audit team members, 

 Language of the audit, 

 Names of personnel at the Certified Facility responsible for USNCP, 

 Areas of the Certified Production Facility audited. 

___ List all reference documents used for the audit. 

___ Describe the audit findings and reference any CARs (Appendix 8); 

___ Evaluate the audited facility’s compliance with the documentation requirements. 

___ Evaluate the efficacy of the Phytosanitary Management System in meeting the requirements of the 

Standards for Phytosanitary Measures Requirements for the Certification of Nurseries under the 

United States Nursery Certification Program. 

 Is there evidence that management supports the implementation and maintenance of the 

USNCP at the facility? 

 Are resources allocated and are staff supported when they work towards implementing and 

improving the Phytosanitary Management System? 

 Is an infrastructure in place to support the USNCP (documents, written procedures, reference 

materials, clear lines for decision making)? 

 Is the Phytosanitary Management System effective? 

 Is there an effective process for incorporating improvements into the Phytosanitary 

Management System? 

___ Comments, observations (Appendix 9), and/or recommendations for improvement. 

___ Propose a date for the next audit and any other follow-up activities.